Sr. Director of Compliance, Futures Commission Merchant (FCM)
NinjaTrader Clearing, LLC, a registered Futures Commission Merchant (FCM) and NFA Member, is seeking a Sr. Director of Compliance to serve as the Chief Compliance Officer's deputy. This role provides strategic leadership and hands-on oversight of the firm's futures compliance program, including governance, supervisory controls, monitoring and testing, regulatory change management, and engagement with regulatory bodies. As NinjaTrader continues to build a data-driven operating model leveraging automation, AI, and regulatory technology, this position will be instrumental in scaling a modern compliance infrastructure that reduces manual processes and embeds compliance into systems and product architecture by design.
Key responsibilities include partnering with the CCO to oversee the firm's compliance program for futures, options on futures, and cleared swaps activities. The role involves maintaining and enhancing written supervisory procedures, compliance policies, and supporting control documentation. The Sr. Director will design and evolve a data-driven compliance monitoring and testing program, leveraging automation and regtech solutions to increase coverage and reduce manual effort. Additionally, the position requires leading regulatory change management efforts, coordinating regulatory engagements, and advising senior management on regulatory obligations affecting various aspects of the firm's operations.
The ideal candidate will have 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, NFA Compliance Rules, and exchange rulebooks is essential. The candidate should demonstrate experience leading or materially supporting regulatory examinations, inquiries, and remediation programs. Strong judgment, clear communication, and the ability to influence cross-functional stakeholders are critical for success in this role.
The salary range for this role is $180,000 to $230,000, with an annual target bonus of 15%. NinjaTrader offers a 401(k) plan with a company match up to 3.5% of employee contributions. The annual paid time off allowance accrues at a rate of 23 days per year, plus seven paid holidays. Additional benefits include health, vision, and dental coverage, as well as life and disability insurance covered 100% by NinjaTrader.
NinjaTrader fosters a dynamic culture focused on social connection, professional development, and employee recognition initiatives. The company is committed to innovation, providing employees with opportunities to contribute to the modernization of the futures industry. Joining NinjaTrader means becoming part of a movement to redefine what's possible in trading and advocate for customers in the journey toward becoming the world's top retail-focused trading platform.