Examinations Supervisor

When you join NFA as an Examinations Supervisor, 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 Examinations Supervisor, 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 and Legal staff to develop cases against firms committing fraud and/or exhibiting significant non-compliance.
• 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 Examinations Supervisor.

• Bachelor's degree in a business-oriented major
• Two or more years of experience in financial services
• Strong knowledge of GAAP and GAAS
• Experience in auditing or accounting preferred
• 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

This position requires that you be fully vaccinated against COVID-19 by the date of hire. Proof of vaccination will be required as a condition of employment. In accordance with applicable law, NFA will assess on a case-by-case basis whether a reasonable accommodation can be provided to individuals who demonstrate that the vaccine cannot be administered due to medical or religious reasons.