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Nfa Jobs (NOW HIRING)

StoneX Group

Compliance Analyst II

Chicago, IL · Hybrid

Ensure proper, accurate, and timely registration of employees and Introducing Brokers with the NFA, including ongoing updates, amendments, and renewals. * Review, document, and manage IB audits ...

moomoo

VP, Regulatory Finance

Jersey City, NJ · On-site

About the role The VP, Regulatory Reporting is responsible for ensuring compliance with SEC, FINRA, CFTC, NFA, NMLS and state requirement, and applicable financial responsibility rules, including net ...

LMAX Group

US Compliance Lead

New York, NY · On-site

$171K/yr

Act as a key point of contact with US regulators (CFTC, NFA, NYDFS and others) Policy & Framework Development * Draft, implement, and maintain compliance policies and procedures including: Market ...

StoneX Group

Compliance Analyst

Chicago, IL · Hybrid

$80K - $85K/yr

The Compliance Analyst will maintain current knowledge of CFTC regulations, NFA and exchange rules, and internal policies to provide guidance to business lines and to perform thorough monitoring.

Stonex Group, Inc.

Compliance Analyst II

Chicago, IL · On-site

$80K - $85K/yr

Ensure proper, accurate, and timely registration of employees and Introducing Brokers with the NFA, including ongoing updates, amendments, and renewals. * Review, document, and manage IB audits ...

StoneX

Compliance Analyst

Chicago, IL · Hybrid

$80K - $85K/yr

The Compliance Analyst will maintain current knowledge of CFTC regulations, NFA and exchange rules, and internal policies to provide guidance to business lines and to perform thorough monitoring.

LMAX Group

US Compliance Lead

New York, NY · On-site

$171K/yr

Act as a key point of contact with US regulators (CFTC, NFA, NYDFS and others) Policy & Framework Development * Draft, implement, and maintain compliance policies and procedures including: Market ...

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All JobsNfa Jobs

Nfa information

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$5

$33

$100

How much do nfa jobs pay per hour?

As of Jul 17, 2026, the average hourly pay for nfa in the United States is $33.46, according to ZipRecruiter salary data. Most workers in this role earn between $15.14 and $42.07 per hour, depending on experience, location, and employer.

What are the key skills and qualifications needed to thrive as an NFA (Non-Financial Adviser), and why are they important?

To thrive as a Non-Financial Adviser, you need a solid understanding of regulatory compliance, risk management, and sector-specific industry knowledge, typically supported by relevant degrees or certifications. Familiarity with compliance management systems, regulatory reporting tools, and documentation platforms is often necessary. Strong analytical thinking, attention to detail, and effective communication skills help you interpret regulations and advise clients accurately. These skills are crucial for ensuring clients meet legal obligations, manage risks efficiently, and maintain trust within their industries.

What does NFA stand for?

In a job context, NFA often refers to 'No Further Action,' indicating that no additional steps are required. It can also stand for 'National Firearms Act,' but in employment, it typically relates to administrative or compliance statuses. Understanding the specific industry or role can clarify its meaning.

What jobs pay 4000 a week without a degree?

Jobs related to the NFA (National Firearms Act) typically do not pay $4,000 a week without specialized skills or experience. However, high-paying roles in sales, real estate, or certain trades like construction or skilled labor can reach or exceed this income level with experience and effort. Most high-earning jobs without a degree require strong work ethic, relevant skills, or certifications.

Is NFA a good place to work?

NFA, as a job role, typically involves compliance and regulatory responsibilities related to firearms and explosives. The work environment can vary depending on the organization, but it often requires attention to detail, security protocols, and relevant certifications. Overall, job satisfaction depends on individual preferences and the specific employer's culture.

What are some typical challenges faced by professionals working in NFA compliance roles?

Professionals in NFA compliance roles often encounter challenges such as keeping up with frequently changing federal regulations, ensuring all documentation is meticulously maintained, and coordinating with multiple internal departments to guarantee compliance. Additionally, there can be pressure to provide timely guidance to staff or clients, especially when interpreting complex rules and responding to regulatory inquiries. Strong organizational skills and attention to detail are essential in overcoming these challenges and maintaining a compliant, efficient operation.

What is the job of NFA?

An NFA (Nuclear Fuel Analyst) is responsible for analyzing nuclear fuel performance, ensuring safety standards, and optimizing fuel usage in nuclear power plants. The role requires knowledge of nuclear engineering, data analysis, and safety protocols, often involving the use of specialized software and regulatory compliance. NFA professionals support plant operations by monitoring fuel behavior and contributing to efficiency and safety improvements.

What is the difference between Nfa vs Network Security Analyst?

AspectNfaNetwork Security Analyst
Required CertificationsCompTIA Security+, Cisco CCNA, CEHCompTIA Security+, Cisco CCNA, CISSP (preferred)
Work EnvironmentIT departments, cybersecurity firms, government agenciesCorporate IT teams, cybersecurity firms, government agencies
Industry UsageCybersecurity, IT security rolesIT security, network monitoring, threat analysis

Both Nfa and Network Security Analysts require similar certifications and often work in cybersecurity environments. While Nfa may focus more on network fundamentals, the Network Security Analyst emphasizes security protocols and threat mitigation. Understanding these differences helps in choosing the right career path or job search focus.

What are NFA jobs?

NFA jobs refer to roles within the National Futures Association (NFA), which is the self-regulatory organization for the U.S. derivatives industry, including futures, swaps, and forex markets. Jobs at the NFA typically involve regulatory compliance, risk assessment, audits, investigations, and policy analysis to ensure the integrity of the derivatives markets. Employees may work in areas such as enforcement, examinations, legal counsel, or market regulation. These roles require a strong understanding of financial regulations, analytical skills, and attention to detail.
More about Nfa jobs
What cities are hiring for Nfa jobs? Cities with the most Nfa job openings:
What states have the most Nfa jobs? States with the most job openings for Nfa jobs include:
What job categories do people searching Nfa jobs look for? The top searched job categories for Nfa jobs are:
Nfa jobs near you
Infographic showing various Nfa job openings in the United States as of July 2026, with employment types broken down into 97% Full Time, and 3% Part Time. Highlights an 83% Physical, 15% Hybrid, and 2% Remote job distribution, with an average salary of $69,605 per year, or $33.5 per hour.
Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)

Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)

Capital One

New York, NY

Full-time

Re-posted 13 days ago

Capital One rating

7.8

Company rating: 7.8 out of 10

Based on 143 frontline employees who took The Breakroom Quiz

76th of 149 rated banks

Job description

Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)About the Role

We are seeking a highly analytical and investigative Trade Surveillance Principal Associate to play a key role in executing and enhancing Capital One's Commercial Banking market conduct surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This individual will conduct day-to-day surveillance monitoring, lead deep-dive investigations into complex trading activity, and ensure ongoing compliance with SEC (Securities and Exchange Commission), FINRA (Financial Industry Regulatory Authority), CFTC (Commodity Futures Trading Commission) and NFA (National Futures Association) regulatory requirements and regulatory expectation.

The ideal candidate will bring strong product and market-conduct knowledge across exchange-traded futures and commodities markets. Experience with other asset classes, including Interest Rates, FX, Equities, and Fixed Income is preferred. The candidate should demonstrate robust analytical and investigative capabilities, sound judgment, and a proven track record of handling complex trade investigations within a highly regulated trading environment.

ResponsibilitiesAdvanced Market Abuse Investigation & Alert Review

  • Targeted Alert Dispositioning: Execute daily surveillance reviews and complex alert analyses for both Broker-Dealer and Swap Dealer trading activities, focusing heavily on identifying potential market abuse.

  • Core Scenario Coverage: analyze cross-market execution data to detect, evaluate, and disposition core manipulative patterns, including:Spoofing & Layering, Wash Trading, Quote Stuffing, Front-Running: Pinging, Escalation Management:

  • Formally escalate high-risk trading anomalies and potential regulatory breaches to Compliance management in accordance with the firm's escalation matrix.

Program Support & Parameter Calibration

  • Assist management in the ongoing maintenance and optimization of surveillance procedures, alert logic, and parameter settings within vendor platforms.

  • Participate in lookback reviews, scenario testing, and calibration exercises to reduce false positives while maintaining robust risk coverage.

Data Integrity & Systems Reconciliation

  • Perform periodic data completeness and accuracy checks for both BD and SD surveillance feeds.

  • Conduct reconciliations between trading systems of record and the trade surveillance platform, identifying and tracking data gaps or ingestion exceptions to resolution.

  • Support User Acceptance Testing (UAT) for new surveillance models, system upgrades, and product launches.

Documentation & Reporting

  • Maintain comprehensive, audit-ready documentation of all alert reviews, ensuring defensive closing rationales and rigorous evidentiary trails.

  • Assist in the aggregation of weekly and monthly surveillance metrics and reporting for senior management.

Regulatory Inquiry & Audit Support

  • Gather documentation and perform initial analysis to support responses for internal audits and regulatory inquiries/examinations (SEC, FINRA, CFTC, NFA).

Collaboration

  • Collaborate effectively with Compliance Advisory, Product, Technology, Risk, and Line of Business to resolve compliance issues.

Basic Qualifications

  • Bachelor's Degree in Finance, Economics, Business, Mathematics, Statistics, Science, Engineering, Quantitative field, or military experience

  • At least 3 years of trade surveillance, or market regulation, or At least 3 years of compliance experience within a Broker-Dealer or Swap-Dealer environment.

Preferred Qualifications

  • Regulatory Knowledge: Strong understanding of SEC, FINRA, CFTC, and NFA rules governing market conduct, manipulation, and trade reporting.

  • Systems Experience: Hands-on experience utilizing rule-based surveillance platforms (NICE Actimize, Eventus Validus, FIS Protegent).

  • Product Depth: Familiarity with OTC swaps (IRS, FX, Commodities) and traditional securities (Equities, Fixed Income).

  • Certifications: Relevant industry certifications or progress toward them (FINRA Series 7, NFA Swap Dealer Associated Person proficiency testing).

  • Skills: Excellent analytical problem-solving skills, strong written communication for drafting investigative summaries, leveraging AI and emerging technologies to optimize surveillance workflows and the ability to manage multiple priorities in a fast-paced environment.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

McLean, VA: $120,800 - $137,900 for Compliance Advisory Specialist III


New York, NY: $131,800 - $150,500 for Compliance Advisory Specialist III










Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate's offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at theCapital One Careers website. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York City's Fair Chance Act; Philadelphia's Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1-800-304-9102 or via email at RecruitingAccommodation@capitalone.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to Careers@capitalone.com

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

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