Senior Compliance Examiner
Department: OTC Derivatives Compliance
Location: New York, NY
Travel Requirements: 20-40%
Job ID: 387
When you join NFA as a Senior Compliance Examiner, you'll join a high-performing team of dedicated professionals responsible for conducting examinations, investigations and financial surveillance of firms under NFA's jurisdiction.
Bring your analytical and innovative mindsets. Bring your ability to quickly learn and adapt. Bring a healthy skepticism and an eye for detail.
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 Senior Compliance Examiner, you'll act as a liaison between NFA and firms and supervise staff to ensure efficient use of resources. Specifically, your responsibilities will include:
- Conducting examinations, monitoring and investigations of financial institutions to identify compliance issues and gather all necessary evidence for possible disciplinary cases.
- Reviewing swap dealers' documentation for anomalies and possible non-compliance with NFA Rules and CFTC Regulations.
- Engaging with firms to ensure that policies and procedures demonstrate the ability to comply with regulatory requirements.
- Communicating possible compliance deficiencies or violations to firm personnel and discussing corrective action.
- Discussing issues with senior OTC Derivatives staff and preparing post-examination reports.
- Developing staff for current and future roles by communicating expectations and providing ongoing feedback.
What we’re looking for:
Detail-oriented individuals thrive in this collaborative, 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 Senior Compliance Examiner.
- Bachelor's degree in a business-oriented major
- Two or more years of experience in OTC Derivatives or financial services
- Experience in compliance or auditing preferred
- Strong knowledge of the Dodd-Frank Wall Street Reform Act
- Ability to apply the appropriate level of professional skepticism to assignments
- Ability to work in a team setting, both as a leader and a participant
- Excellent interpersonal, written and oral communication skills
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. NFA complies with federal, state and local laws with respect to providing accommodations for individuals who are unable to receive the vaccine due to a medical condition or religious belief.
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.
Read about NFA's generous and flexible benefits package that allows employees to balance work and life.
Learn about how NFA's culture drives our success.
Meet NFA employees and learn about their careers.
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.