Sr. Director of Compliance, Futures Commission Merchant (FCM)

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Welcome to the dynamic world of NinjaTrader! As an industry-leading trading platform and futures broker were empowering 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. Since 2003 NinjaTrader has been dedicated to understanding and supporting traders on their journey toward trading triumph. Through those efforts our user base has grown to over 2 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:

NinjaTrader Clearing LLC a registered Futures Commission Merchant and NFA Member is seeking a Director or Sr. Director FCM Compliance to serve as the Chief Compliance Officers deputy and primary partner in executing and scaling the Firms futures compliance program. Reporting to the CCO this role provides strategic leadership and hands-on oversight of the Firms FCM compliance framework including compliance governance supervisory controls monitoring and testing regulatory change management and regulatory engagement with the CFTC NFA and applicable exchanges. 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. This position also serves as a trusted advisor to senior management and business stakeholders on regulatory requirements impacting futures and swaps trading clearing operations and financial responsibility obligations.

In this role you will:

• Partner with the CCO in overseeing the Firms 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
• Translate regulatory obligations into practical supervisory controls clear ownership and evidence standards
• 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
• Identify opportunities to eliminate manual dependencies and systematize automate and embed compliance controls within trading clearing finance and customer workflows
• 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
• Advise senior management and business stakeholders on regulatory obligations affecting trading conduct clearing operations promotional standards margin and collateral processes reporting supervision and operational change
• 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
• Prepare compliance reporting and governance materials for senior management and assist in drafting the Annual CCO Report and other key program deliverables
• Identify emerging regulatory risks control gaps or scalability constraints and escalate material matters to the CCO in a timely and well-supported manner
• Serve as the CCOs designated alternate consistent with delegated authority including providing coverage in key meetings regulatory interactions and internal governance forums as needed

What youll need:

• 812 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)
• Demonstrated experience leading or materially supporting regulatory examinations inquiries and remediation programs
• Ability to design implement and scale supervisory controls governance processes and compliance infrastructure
• Strong judgment clear communication and the ability to influence cross-functional stakeholders

Bonus points for:

• Series 3 preferred
• Experience in a growth environment where compliance infrastructure is being scaled

Compensation:

The salary range for this role will be $180000.00 - $230000.00 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 of23 days per yearplus seven paid holidays.

Location:

This role is based in Chicago IL. *There may be remote flexibility for exceptional candidates in the following states: California Colorado Florida Georgia Illinois Indiana Minnesota Missouri Montana New Jersey New York North Carolina Ohio Oregon Pennsylvania South Carolina Texas Utah Vermont Virginia Washington Washington DC Wisconsin.

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.