Regulatory Compliance Examiner

Department: Futures and OTC Derivatives Compliance

Location: New York, NY

Travel Requirements: 20-50%

Job ID:  412

DIVERSITY & INCLUSION
NFA's culture supports all our employees to perform at the highest level, no matter the circumstances, and values an inclusive culture where all staff can thrive. Read more.

 

When you join NFA as a Regulatory Compliance Examiner, you will gain unique insight into the global derivatives industry and its regulatory framework, utilizing your critical thinking, data analysis and risk assessment skills every day.

Bring your analytical and innovative mindsets. Bring your thirst for knowledge and learning. Bring a healthy skepticism and an eye for detail.

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

What you'll do:

You'll join a high-performing team of dedicated problem solvers to develop innovative investigative strategies in support of our important regulatory mission. Along with technology, you will leverage your human curiosity to analyze documents, procedures and financial statements. As a team, you'll evaluate your findings for possible compliance deficiencies or rule violations and provide insight on the corrective action needed.

What we’re looking for:

Detail-oriented, driven individuals thrive in this collaborative, analytical role. We value diverse perspectives and are looking for motivated applicants with a broad range of backgrounds and experiences. 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 Compliance Examiner.

  • Bachelor's degree in a business-oriented major required
  • At least six credit hours of accounting completed at time of application (nine credit hours preferred)
    • Note: Candidates who have not yet completed an intermediate accounting course, or equivalent, must do so within six months of their hire date.  Tuition assistance is available for completion.
  • Demonstrated ability to work effectively in a team environment
  • Demonstrated alignment with NFA's values (i.e., demonstrates approachability, trustworthiness and courtesy; embraces diversity; behaves with integrity)
  • Bachelor's degree in business, accounting or finance preferred
  • Overall GPA of 3.0 on a 4.0 scale preferred
  • Strong leadership skills preferred (e.g., thinks strategically, demonstrates accountability, teaches and fosters learning)

This position requires that you be fully vaccinated against COVID-19 by the date of hire. Proof of vaccination will be required as a condition of employment. In accordance with applicable law, NFA will assess on a case-by-case basis whether a reasonable accommodation can be provided to individuals who demonstrate that the vaccine cannot be administered due to medical or religious reasons.


 

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 purpose-driven. We safeguard the integrity of the derivatives markets, protect investors and ensure that our Members meet their regulatory obligations. We take pride in our work; maintain a conviction to do the right thing; empower each other; and support our community. Envision your career in a place where performing critical regulatory work within the financial industry is as significant as the diverse, passionate and talented individuals with whom you work.

Together, we will innovate regulation.

 

Benefits

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

Read Moreabout NFA employees

Our Culture

Learn about how NFA's culture drives our success.

Read More about our culture

Our People

Meet NFA employees and learn about their careers.

Read More about NFA Employees

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.

Read Moreabout NFA Cares

Top 100 Workplaces

100 Best Adoption-Friendly Workplaces

Best Places to Work in Illinois

BBWellnessNatLogo17.jpg

National Best and Brightest Companies to Work For

Chicago's 101 Best and Brightest Companies to Work For