Financial Service Senior Consultant - NFA Examination

Sia is a next-generation, global management consulting group. Founded in 1999, we were born digital. Today our strategy and management capabilities are augmented by data science, enhanced by creativity and driven by responsibility. We’re optimists for change and we help clients initiate, navigate and benefit from transformation. We believe optimism is a force multiplier, helping clients to mitigate downside and maximize opportunity. With expertise across a broad range of sectors and services, our 3,000 consultants serve clients worldwide from 48 locations in 19 countries. Our expertise delivers results. Our optimism transforms outcomes. 

Strategy & Management Consulting 

Sia’s Strategy & Management Consulting global footprint and expertise in more than 40 sectors and services allow us to enhance our clients' businesses worldwide. We guide their projects and initiatives in strategy, business transformation, IT & digital strategy.   

Financial Institutions have drastically changed over the last decade, driven by increased regulatory constraints, diverse competition inside and beyond traditional banking organizations, and emerging technologies reshaping long-standing ecosystems. Sia’s Financial Services Business Unit provides a comprehensive suite of core capabilities designed to address the diverse and evolving needs of our clients, enabling them to navigate complex challenges, seize new opportunities, and achieve their strategic objectives in an increasingly competitive and dynamic business environment. 

Our talented consultants enable our Financial Services Industry (FSI) Business Unit to deliver a myriad of business transformation solutions to our clients. The FSI Business Unit has led and managed projects for top-tier, global clients ranging from strategy, target operating model design, regulatory governance and remediation to technology transformation, program & project management, and business analysis. We have experience providing these solutions to clients within their Sales & Trading, Risk Management, Finance, Treasury, and Operations & Technology functions.

Consulting Skills

• Client delivery as part of an on-site or remote project team
• Demonstrate the capacity to plan assigned work and identify priorities/interesting parties of the project/assignment, conducts regular points of progress
• Present complex ideas, critical points and decisions required to team members and client contacts, including middle and top management
• Manage, organize and prioritize work activities & assignments to achieve deadlines while communicating effectively with clients, internal stakeholders and leadership
• Perform simple and complex research and business analysis to solve for customer business challenges/issues to present unique, tailored solutions utilizing both quantitative and qualitative data
• Utilize higher-level methodological concepts to prepare client deliverables utilizing tools like PowerPoint, Excel, Access, MS Project and Visio, designing key deliverables for projects and supporting other consultants in the production of their deliverables
• Collaborate with internal and client project team members, and contribute to internal communications and readiness activity within the program team and with client groups
• Provide status reporting of progress, dependencies, issues, risks and overall program health         
• Responsible for the work streams of a complex project and takes the lead on simple projects
• Maintain program sites as a repository for all project information

Business Expertise Skills

• Experience with National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC) regulatory expectations and examination for broker-dealers, swap-dealers, and security-based swap dealers
• Practical knowledge of and experience implementing record keeping rules
• Support practice, thought leadership, and people development activities firmwide
• Cultivate knowledge related to a specific business challenge, issue, or deepen understanding within a sector and function domain
• Share experiences related to business issues and demonstrate a capacity for knowledge transfer amongst peers and junior staff

• Be a thought leader for Compliance initiatives and help to guide the team’s direction
• Project manage and/or support on a range of client delivery, as part of an on-site or remote project team
• Conduct effective meetings, liaising with Compliance, Operations/Management teams, and Data and technology teams.
• Collaborate with internal and client project team members, and contribute to internal communications and readiness activity within the program team and with client groups
• Provide status reporting of progress, dependencies, issues, risks, and overall program health
• Design and assist compliance systems and develop data requirements, working with Compliance teams
• Use analysis to identify trends and opportunities for improvements and efficiencies across compliance programs and systems
• Create and maintain documentation on pipelines, tools, and data sets to demonstrate program soundness

• MUST HAVE PRIOR NFA EXAMINATION EXPERIENCE
• Bachelor’s degree required in Finance, Business Management, Mathematics or a related field from an accredited college/university (Masters is preferred) 
• Experience working for a US regulator is a plus e.g., National Futures Association (NFA), Fed, New York DFS
• Juris Doctor or Masters of Business Administration preferred
• 3 - 5 years of recent client facing management consulting experience
• CAMS, CFE and other relevant professional licenses
• Experienced in delivery of a wide range of Financial Services solutions, maintains deep understanding of the industry and its challenges 
• You possess strong client relationship development and client management skills 
• Excellent communication (written and oral) accompanied by strong interpersonal skills 
• Solid organizational, multi-tasking, and time-management skills 
• Exhibit a growth mindset in your work, both with clients and internally 
• Strong problem solving and troubleshooting skills with the ability to know when to escalate and when not to 
• Advanced Microsoft Office Skills (Excel, PowerPoint, Word)
• Eagerness to be involved with internal initiatives and interest in guiding and leading 
• Demonstrated teamwork and collaboration in a professional setting 

Compensation & Benefits 

We believe in supporting our team professionally and personally. Here’s a snapshot of the comprehensive benefits you’ll enjoy as part of Sia. 

Competitive Compensation 

• Annual base salary starting at $122,000 commensurate with experience and qualifications

• Annual performance based discretionary bonus 

Robust Health Coverage 

• 3 Medical plans  

• Dental and Vision  

• Life, AD&D and other voluntary insurance  

Tax-Advantaged Accounts 

• 401K retirement plan 

• 4% matching and 100% vested upon enrollment 

• Health Savings Account (HSA) 

• Flexible Spending Account (FSA)  

• Health, Dependent Care, Commuter 

Family Friendly Benefits  

• 100% paid parental leave for all new parents with eligible tenure 

• Building Healthy Families program if enrolled through Medical plan 

Time Off to Recharge 

• Generous Paid Time Off (PTO) policy 

• 9 company holidays plus 1 floating holiday  

Extras that Make Life Easier 

• College savings and student loan repayment assistance 

• Monthly cell phone stipend 

• Access to wellness programs at no cost if enrolled through Medical plan, including: 

  • Gym membership reimbursement 

  • LiveHealth Online virtual care 

  • Personalized support from a Well-being Coach  

• Employee Assistance Program at no cost 

  • Free confidential counseling and emotional support services  

  • On-demand access to Emotional Well-being resources (ranging from relaxation techniques to stress management)  

Our Commitment To Diversity

At Sia, we believe in fostering a diverse, equitable and inclusive culture where our employees and partners are valued and thrive in a sense of belonging. We are committed to recruiting and developing a diverse network of employees and investing in their growth by providing unique opportunities for professional and cultural immersion. Our commitment toward inclusion motivates dynamic collaboration with our clients, building trust by creating an inclusive environment of curiosity and learning which affects lasting impact. Please visit our website for more information. 

Hybrid Workplace Guidelines

Sia is committed to providing a flexible workplace environment that supports client, business, and market needs. Consultants located in our primary market office locations—New York City, Charlotte, Seattle, and San Francisco are expected to live within a reasonable commuting distance and attend the office at least three days per week. For applicants in other markets, including those without a local office, we offer more flexible in-person requirements to accommodate your location. 

Work Authorization & Sponsorship 

At this time, Sia does not intend to pursue employment with applicants who will require now or in the future visa by our company for work authorization in the United States (i.e., H1-B visa, F-1 visa (OPT), TN visa, or any other non-immigrant status).  

Sia is an equal opportunity employer. All aspects of employment, including hiring, promotion, remuneration, or discipline, are based solely on performance, competence, conduct, or business needs.