Regulatory Compliance Examiner

Regulatory Compliance Examiner

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 a Regulatory Compliance Examiner, you will gain unique insight into the global derivatives industry and its regulatory framework, utilizing your critical thinking, data analysis and risk assessment skills every day. Bring your analytical and innovative mindsets. Bring your thirst for knowledge and learning. Bring a healthy skepticism and an eye for detail. Beginning your first day and throughout your career, youll gain exceptional experiences, personalized learning and invaluable coaching and mentoring. We believe in nurturing talent to develop future NFA and industry leaders.

Youll join a high-performing team responsible for developing innovative investigative strategies in support of NFAs regulatory mission. You will continually monitor our Member financial institutions through examinations, financial report analysis and investigations, leveraging your human curiosity to analyze documents, procedures and financial statements. As a team, youll evaluate your findings for possible compliance deficiencies or rule violations and provide insight on the corrective action Members must take.

Detail-oriented, driven individuals thrive in this collaborative, analytical role. We value unique perspectives and are looking for motivated applicants with a broad range of backgrounds and experiences. If youre 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 a Compliance Examiner.

Bachelors degree in a business-oriented major required. At least six credit hours of accounting completed at time of application (nine credit hours preferred). Note : Candidates who have not yet completed an intermediate accounting course, or equivalent, must do so within six months of their hire date. Tuition assistance is available for completion. Demonstrated ability to work effectively in a team environment. Demonstrated alignment with NFAs values (i.e., demonstrates approachability, trustworthiness and courtesy; behaves with integrity). Overall GPA of 3.0 on a 4.0 scale preferred. Strong leadership skills preferred (e.g., thinks strategically, demonstrates accountability, teaches and fosters learning).

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 NFAs 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.