Compliance Examiners support NFA's mission in safeguarding the integrity of the derivatives markets, protecting investors and ensuring Members meet their regulatory responsibilities by performing extensive examinations, investigations, and surveillance of Members' records, operations, and policies and procedures to ensure compliance with NFA rules and CFTC regulations.
Review Members' policies, procedures, records and operations.
Document testing and findings in a clear and concise manner.
Identify and address key issues and collect all necessary evidence for possible disciplinary cases.
Discuss with Members the corrective action needed to address compliance deficiencies or rule violations.
Analyze financial statements for anomalies and possible rule violations.
Collaborate with examination teams to develop investigative strategies.
Bachelor's degree in business-oriented major
Ability to apply the appropriate level of professional skepticism to assignments
Ability to work effectively in a team environment
About National Futures Association
National Futures Association (NFA) is the self-regulatory organization for the U.S. futures and swaps industry. NFA’s mission is to develop rules, programs and services that safeguard market integrity, protect investors and help its Members meet their regulatory responsibilities. NFA is committed to finding creative solutions to regulatory issues, focusing on results, and fulfilling our regulatory responsibilities efficiently and cost-effectively. We strive to create a work environment that rewards outstanding performance while encouraging employees to create a healthy balance between their work and their personal lives. Our efforts are reflected in workplace satisfaction awards we have received over the past several years.
BACK TO TOP
ICPAS Career Center is Just One of the Benefits.
Discover what else ICPAS has to offer!
The job you are trying to reach from was originally posted at ICPAS Career Center.