Manager, ExaminationsNational Futures Association • Chicago, IL, US

Manager, Examinations

National Futures Association • Chicago, IL, US

6 days ago

Job type

Full-time

Job description

Manager, Examinations

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 passionate and talented individuals with whom you work.

When you join NFA as an Manager, Examinations, 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 passion for people and problem solving. 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.

As a Manager, Examinations, you'll oversee staff as they evaluate financial institutions for regulatory compliance. Specifically, your responsibilities will include :

Ensuring staff complete assignments and appropriately apply professional skepticism in accordance with NFA's standards.
Participating in examination planning meetings and making risk-based scoping determinations.
Conducting examinations and meeting with firm personnel to identify deficiencies and corrective actions and recommending a final determination.
Supervising communications with firm personnel regarding deficiencies and / or apparent violations as well as corrective actions.
Overseeing staff during their reviews and investigations of complaints and inquiries received from the public.
Identifying issues, industry trends and potential improvements to staff workflow and communicating these to relevant parties.
Developing staff for current and future roles by communicating expectations and providing on-going feedback.

Detail-oriented individuals thrive in this collaborative, analytical role. If you're eager to apply your critical thinking abilities to serve a public goodsupporting the integrity of the derivatives marketsand meet the qualifications below, we encourage you to apply to join our team as an Examinations Manager.

Bachelor's degree in a business-oriented major

Five or more years of experience in compliance, auditing, operational risk or swaps operations

Strong knowledge of OTC Derivatives Products, Standard Swap Agreements, and other related areas

Deep understanding of entities that engage in swaps and OTC market issues

Knowledge of the Dodd-Frank Wall Street Reform Act preferred

Experience managing teams, multiple assignments and priorities

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

Salary range : $103,400-$176,000

Customers and market participants depend on NFA to act with integrity and impartiality as it carries out its mission of safeguarding the markets and protecting investors. Therefore, NFA employees have a responsibility to conduct themselves according to high ethical standards, and must abide by NFA's Code of Professional Conduct. Learn more about the Code of Professional Conduct.

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.

Nearest Major Market : Chicago

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Manager • Chicago, IL, US