Thomas Strafaci
Supervisor Ii @National Futures Association
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WORK HISTORY
Supervisor Ii @National Futures Association
New York, NY, US
Lead risk-based examinations of registered Swap dealers, with a primary focus on capital adequacy, liquidity, and financial reporting. Assessed compliance with CFTC, SEC, and NFA requirements, including rules governing capital, segregation, and risk management. Analyzed financial statements, tested internal controls, and identified potential gaps in regulatory adherence to safeguard market integrity. Collaborated with firm management to address findings and strengthen compliance frameworks.
EDUCATION
The College of New Jersey
Bachelor of Science (BS) & Bachelor of Arts (BA), Finance & Economics
ABOUT THOMAS STRAFACI
Ambitious financial regulatory compliance professional with expertise in risk-based…
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