NinjaTrader
Sr. Director of Compliance, Futures Commission Merchant (FCM)
Chicago or Remote* · Director
Sponsorship not specified$180k-$230kDetected 90 days ago
ComplianceLeadershipCommunication
About the role
- For the latest listings and details, please visit: https://job-boards.greenhouse.io/ninjatrader.
- We provide cutting-edge products and services that enhance the trading journey.
- Whether a seasoned pro or just starting out, NinjaTrader equips traders with award-winning software and brokerage services to navigate the world's leading financial markets with confidence.
Responsibilities
- Director, FCM Compliance to serve as the Chief Compliance Officer's deputy and primary partner in executing and scaling the Firm's futures compliance program.
- As NinjaTrader continues to build a data-driven operating model leveraging automation, AI, and regulatory technology, this role will be instrumental in scaling a modern compliance infrastructure that reduces manual processes, improves transparency, and embeds compliance into systems and product architecture by design.
- Partner with the CCO in overseeing the Firm's compliance program for futures, options on futures, and cleared swaps activities conducted as an FCM
- Maintain and enhance written supervisory procedures, compliance policies, and supporting control documentation governing customer protection, supervision, complaint handling, and other applicable regulatory requirements
- Lead regulatory change management efforts, including assessment of CFTC, NFA, and exchange rule developments, impact analysis, and implementation across business units
- Lead day-to-day regulatory engagement activities, including coordination of NFA examinations, CFTC inquiries, and exchange reviews, and preparation of materials for CCO review and approval
- Provide second-line oversight support with respect to financial responsibility requirements, including customer funds segregation, secured amount calculations, and net capital compliance, in coordination with Finance and Operations
- Support new product launches, operational enhancements, automation initiatives, and technology deployments through structured compliance-by-design assessments
- Manage and mentor members of the compliance staff while fostering a culture of continuous improvement
Requirements
- 8-12 years of futures compliance experience, including substantial experience within or directly supporting an FCM
- Strong working knowledge of CFTC regulations applicable to FCMs
- Strong working knowledge of NFA Compliance Rules and Interpretive Notices
- Strong working knowledge of exchange rulebooks (e.g., CME Group)
- Strong working knowledge of customer protection and financial responsibility frameworks (segregation, secured amount, net capital)
- Strong judgment, clear communication, and the ability to influence cross-functional stakeholders
Nice to have
- Series 3 preferred
- Experience in a growth environment where compliance infrastructure is being scaled
Skills
- https://job-boards.greenhouse.io/ninjatrader.
- Welcome to the dynamic world of NinjaTrader!
- Our growth story is nothing short of exhilarating.
- Since 2003, NinjaTrader has been dedicated to understanding and supporting traders on their journey toward trading triumph.
- So, why work at NinjaTrader?
- Sounds too good to be true?
- Take it from our employees.
Compensation
- The salary range for this role will be $180,000.00 - $230,000.00 USD.
- In addition, this position will also receive an annual target bonus of 15%.
- Bonus pay at NinjaTrader is based on individual performance (50%) as well as company/team performance (50%).
- Salary and bonus earnings are only two components of the total compensation package offered by NinjaTrader.
- NinjaTrader offers a 401K plan through ADP under which the company will match up to 3.5% of employee contributions.
- Annual paid time off allowance accrues at a rate of 23 days per year plus seven paid holidays.
Benefits
- Design and evolve a data-driven compliance monitoring and testing program, leveraging automation, workflow tools, analytics, and regtech solutions to increase coverage and reduce manual lift
- Serve as the CCO's designated alternate consistent with delegated authority, including providing coverage in key meetings, regulatory interactions, and internal governance forums as needed
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This listing is sourced directly from NinjaTrader's careers page and normalized into a canonical job model.