Registration Investigator

Department: Registration

Location: Chicago, IL

Travel Requirements: N/A

Job ID:  370

LIFE AT NFA
NFA is committed to creating an exceptional work environment. Learn from staff how NFA fosters a culture of diversity, ongoing learning and development, and work-life balance.

 

When you join NFA as a Registration Investigator, you will gain unique insight into the global derivatives industry and its regulatory framework, utilizing your critical thinking and decision-making skills every day.

Bring your analytical mindset and eye for detail. Bring your strategic vision and passion for collaboration. Bring your ability to quickly learn and adapt.

Beginning your first day and throughout your career, you'll gain exceptional experiences, career-long and personalized learning, and invaluable coaching and mentoring. We believe in nurturing talent to develop future NFA and industry leaders.

What you'll do:

As a Registration Investigator, you'll review the background and disciplinary history of NFA applicants to determine whether they meet standards for NFA membership. Specifically, your responsibilities will include:

  • Reviewing and investigating all disciplinary-related information on various registration forms, criminal information contained on FBI rap sheets, formal actions taken by regulatory bodies and other derogatory information obtained from various sources.
  • Obtaining supporting documentation through contact with the applicant, the sponsoring firm, governmental agencies, police and prosecutorial agencies, or from various online sources.
  • Writing accurate and complete summaries for each disciplinary matter under review and, in accordance with procedures and sound judgment, determining whether the matter can be cleared.
  • Reviewing FINRA's Web Central Registration Depository (CRD) daily for disciplinary information involving individuals who filed applications the prior day.
  • Processing and reviewing various electronic fitness-related alerts.

What we’re looking for:

Detail-oriented individuals thrive in this investigative, analytical role. If you're eager to apply your critical thinking abilities to serve a public good—supporting the integrity of the derivatives markets—and meet the qualifications below, we encourage you to apply to join our team as a Registration Investigator.

  • Bachelor's degree in a business-oriented major
  • Experience using Microsoft Office (Word and Excel)
  • Strong oral and written communication skills
  • Excellent attention to detail
  • High degree of self-motivation
  • Ability to apply the appropriate level of professional skepticism to assignments
  • Knowledge of CFTC regulation and NFA membership preferred

Why choose NFA?

We understand how important culture is to an organization, and we pursue a culture of excellence where every NFA employee, regardless of circumstances, can succeed. Our workforce respects and celebrates each employee's diversity, unique values and abilities, all of which mold our creative approach to regulation. Most importantly, we believe that our diverse, inclusive workforce makes NFA a friendly, supportive and enjoyable place to work.

MAKE OUR MISSION YOUR CAREER
NFA is the industrywide, self-regulatory organization for the U.S. derivatives industry. NFA strives every day to safeguard the integrity of the derivatives markets, protect investors and ensure Members meet their regulatory responsibilities.

Benefits

Read about NFA's generous and flexible benefits package that allows employees to balance work and life.

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Our Culture

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Our People

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NFA Cares

Learn about how NFA cares for the health and wellness of our employees and communities to promote the pursuit of excellence in our employees work.

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