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.

Together, we will innovate regulation.

Government

Non Profit

Trading & Exchanges

National Futures Association

National Futures Association's headquarters in Chicago, IL, United States

Tom Sexton

Lauren Brinati

Ed Dasso

Cheryl Tulino

Kathleen Clapper

Jerome Tioti

Nancy Bohanon

Silmar M.

Katie Owens

Cliffe Allen

Tanika Pierre Mba

Dan Driscoll

David Hawrysz

Karen Wuertz

The Compliance Team at the National Futures Association (NFA) is responsible for ensuring that all NFA Members adhere to established regulatory obligations and standards. This team conducts thorough examinations, audits, and investigations to identify and address non-compliance in the derivatives markets. They work to protect investors, uphold market integrity, and provide critical regulatory oversight, encompassing areas such as OTC derivatives, cybersecurity, financial analysis, and disclosure documentation. The team is pivotal in fostering a secure and transparent financial environment through rigorous compliance checks and enforcement.

Compliance Team

The Information Technology Team at National Futures Association ensures the smooth operation and security of the organization's information systems. They develop, maintain, and optimize applications critical to regulatory functions, manage databases, and ensure network reliability. Additionally, they innovate and implement advanced cloud systems, uphold information security, and provide technical leadership and support to enhance regulatory processes and protect market integrity.

Information Technology Team

This department ensures adherence to regulations and compliance standards within the organization.

Regulatory Compliance

The Data Science and Analytics team at the National Futures Association leverages advanced analytical techniques and quantitative research to enhance regulatory oversight and market surveillance. They develop data-driven insights to ensure the integrity of derivatives markets, conduct financial analyses, and assess risks associated with financial instruments. The team plays a crucial role in innovating regulation to protect investors and ensure compliance among NFA Members.

Data Science and Analytics

The Analytics and Investigations Team at the National Futures Association (NFA) is dedicated to ensuring compliance with regulatory obligations by conducting in-depth analyses and investigations. This team leverages financial analysis, market surveillance, data analytics, and legal support to monitor derivatives markets, scrutinize trade activities, and handle e-communications investigations. Their multifaceted efforts are crucial in protecting investors and maintaining the integrity of the financial industry.

Analytics and Investigations Team

The Compliance and Risk Management team at the National Futures Association ensures that the organization's members adhere to strict regulatory standards and practices. They focus on monitoring market activities, managing risk in OTC derivatives, conducting investigations, ensuring security governance, and overseeing compliance systems and data analytics. Their role is critical in maintaining market integrity, protecting investors, and supporting the organization's mission by implementing robust compliance and risk management frameworks.

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National Futures Association

Org chart

Teams

Compliance Team

Information Technology Team

Regulatory Compliance

Data Science and Analytics

Analytics and Investigations Team

Compliance and Risk Management

Offices

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National Futures Association

Org chart

Teams

Compliance Team

Information Technology Team

Regulatory Compliance

Data Science and Analytics

Analytics and Investigations Team

Compliance and Risk Management

Offices

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