Compliance Officer, Monitoring & Testing

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Welcome to the dynamic world of NinjaTrader! As an industry-leading trading platform and futures broker were on a mission to empower traders to take control of their financial destiny. How do we do it 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 worlds leading financial markets with confidence.

Our growth story is nothing short of exhilarating. Over the last 20 years NinjaTrader has been dedicated to understanding and supporting traders on their journey toward trading the last five years alone our user base has grown by 400% to over 1.9 million users and we have become the number one rated futures brokerage worldwide.

But were not stopping there. Were constantly evolving pushing boundaries and modernizing the futures industry. Our commitment to innovation means users will always have access to dynamic tools real-time support and a community of like-minded traders.

So why work at NinjaTrader Here youre not just part of a team; youre part of a movement. We empower employees to reach new heights in their careers by providing a dynamic culture focused on social connection professional development and employee recognition initiatives. Sounds too good to be trueTake it from our employees.

Join us as we redefine whats possible in trading advocate for our customers and continue our journey toward becoming the worlds top retail-focused trading platform in the world.

What youll do:

The Compliance Monitoring & Testing Officer leads NinjaTraders second-line compliance assurance program providing independent oversight of the firms regulatory and operational control environment. This role is responsible for designing and executing a risk-based monitoring and testing program to evaluate the effectiveness of policies procedures and controls across the business ensuring compliance with CFTC NFA and other applicable regulations.

This is an ideal opportunity for someone who can combine exam-ready testing discipline with modern risk governance in a fast-growing retail futures brokerage environment.

In this role you will:

• Design and manage NinjaTraders risk-based compliance monitoring and testing program including testing procedures methodologies and risk assessments aligned with regulatory expectations and industry best practices
• Develop and execute an annual and rolling testing plan mapping reviews to compliance and operational risk areas
• Oversee remediation of gaps identified in the testing or monitoring activities
• Maintain and report on key risk indicators (KRIs) and risk appetite metrics; use insights to inform program priorities
• Conduct and document compliance risk assessments to evaluate risk exposure and identify areas for enhanced monitoring testing or training
• Build strong relationships with stakeholders and act as key point of contact for test deliverables findings and remediation
• Prepare clear concise reports for senior management that summarize testing scope approach overall results and recommendations
• Support automation of testing and reporting through data-driven tools and dashboards
• Monitor emerging risks regulatory developments and industry trends to inform risk strategy
• Participate in cross-functional initiatives and special projects as they arise to strengthen the Compliance function

What youll need:

• Bachelors degree; JD MBA or masters degree a plus
• 36 years of experience in compliance testing internal audit risk management or compliance monitoring ideally in a futures brokerage or financial services environment
• Solid understanding of U.S. futures and derivatives regulations and the ability to quickly learn new areas
• Strong analytical skills attention to detail solid judgment and the ability to evaluate complex regulatory business issues
• Excellent organizational and project management skills; detail-oriented with ability to juggle multiple priorities involving different partners and groups with limited oversight and direction
• Strong communicator able to translate compliance metrics into clear narratives for senior management
• Proficient in workflow and knowledge management tools (e.g. Salesforce Monday JIRA or similar)

Bonus points for:

• In-depth knowledge of CFTC/NFA requirements including supervisory and disclosure obligations and CFTC Regulation 1.11 (Risk Management Program)
• Experience identifying and contributing to the implementation of new technologies and innovative concepts that make compliance scalable
• Ability to work independently while maintaining collaboration and transparency across teams

Compensation:

The salary range for this role will be $105000.00 - $120000.00 addition this position will also receive an annual target bonus of 10%. 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 18 days per year (some positions may qualify for more) plus seven paid holidays.

Location:

This role is based in Chicago IL. We are not open to remote candidates for this role

Hybrid:

For Chicago-based employees we follow a hybrid work schedule: In-office Tuesday through Thursday with remote work on Mondays and addition to these weekly remote days we offer:

• 20 additional flex remote days annually
• 5 Company Wide Office-Optional weeks tied to major holidays

Our Core Benefits Include:

• Generous PTO
• 7 Paid Holidays Annually 5 Conditional Holidays Annually
• 1 Service Day Annually
• 401k with 3.5% Company Match
• Paid Parental Bonding Leave
• Health Vision Dental Coverage
• Life and Disability Insurance Covered 100% by NinjaTrader

We are committed to equal employment opportunity regardless of race color ancestry religion sex national origin sexual orientation age citizenship marital status disability gender gender identity or expression or veteran status. We are proud to be an equal opportunity workplace.