Wayne Karnatz, Cfe Email & Phone Number

Wayne Karnatz, Cfe is a Senior Compliance Examiner II at National Futures Association. He possess expertise in options, risk management, trading, derivatives, financial markets and 24 more skills.

Listed skills include Options, Risk Management, Trading, Derivatives, and 25 others.

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  Senior Compliance Examiner Ii

  National Futures Association

  Feb 2016 - Present - Greater New York City Area

  CFE - Certified Fraud ExaminerDuties/Responsibilities:•Possess a strong knowledge of CFTC rules and regulations that Swap Dealers are required to follow, and a thorough understanding of NFA's examination and monitoring techniques.•Conduct examinations of Swap Dealers' Compliance functions and Risk Management programs; and assess the firms' ability to detect market manipulation by Associated Persons and clients.•Review Swap Dealers' business objectives, structure, policies, processes and internal controls; and identify risk areas that firms need to improve upon.•Analyze documents submitted by Swap Dealers pursuant to implementing regulations under Section 4s of the Commodity Exchange Act; and engage with member firms to ensure that policies and procedures demonstrate an ability to comply with the regulations.•Review Swap Dealers' electronic communications to detect deficiencies and/or apparent violations.•Communicate examination progress and findings to Swap Dealers during status meetings.•Examine firm source documents to confirm the validity of findings; and prepare final exam reports.•Participate in performance management process by providing constructive feedback to junior staff regarding work product.•Promote NFA's brand through day to day communications with SD registrants and industry professionals.•Contribute to NFA's goal of building a first-class OTC Derivatives team by seeking opportunities to enhance member experience with the NFA; working with Managers to identify and recommend methods for improving existing practices of the regulatory program; and creating new, innovative ways for enhancing productivity within the department.