Senior Compliance Examiner II, OTC Derivatives

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 Senior Compliance Examiner II 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 an Senior Compliance Examiner II, you'll act as a liaison between NFA and firms and supervise staff to ensure efficient use of resources. Specifically, your responsibilities will include:

• Planning examinations of financial institutions and identifying areas of risk by evaluating their business objectives, policies, processes and internal controls.
• Assessing exam work papers, confirming validity of exam findings and preparing exam reports.
• Collaborating with senior Futures Compliance, OTC Derivatives and Legal NFA staff to develop cases against firms committing fraud and/or exhibiting significant non-compliance with NFA Rules.
• Reviewing futures commission merchant, introducing broker and pool financial statements for anomalies and possible non-compliance with NFA Rules and CFTC Regulations.
• Examining communications with firm personnel regarding deficiencies and apparent violations, as well as corrective action.
• 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 an Senior Compliance Examiner II.

• Bachelor's degree in a business-oriented major
• Four or more years of auditing experience, including more than one year of auditing supervisory experience
• Strong knowledge of GAAP and GAAS
• 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
• Ability to supervise multiple assignments and priorities
• Excellent interpersonal, written and oral communication skills

The salary range for this position is $97,200 to $162,100

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.