Registration Investigator

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.

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:

• 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 through 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.
• Preparing cases for the RCL (Registration Compliance Legal) Committee.
• Participating in special projects, working groups, and committees, throughout NFA as needed.

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
• Excellent interpersonal, written and oral 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
• Experience using Microsoft Office, advanced Excel skills preferred
• Prior investigative experience preferred
• Industry knowledge preferred

Salary range: $50,600 - $84,300

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.

Requisition ID:724