Sr. Director of Compliance, Futures Commission Merchant

About the role

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 Officer’s deputy and primary partner in executing and scaling the Firm’s futures compliance program.

Responsibilities

• 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

• 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

• Advises 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 CCO’s designated alternate consistent with delegated authority, including providing coverage in key meetings, regulatory interactions, and internal governance forums as needed

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)

• Demonstrated experience leading or materially supporting regulatory examinations, inquiries, and remediation programs

• Strong judgment, clear communication, and the ability to influence cross-functional stakeholders

QualificationsSeries 3 preferred

Bonus points for:

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

Skills

• Strong analytical and problem-solving skills

• Excellent interpersonal and communication skills

• Ability to manage multiple priorities and deadlines

• Knowledge of regulatory environments and compliance frameworks

• Experience with compliance monitoring and testing tools

• Ability to lead and mentor a team

Benefits

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

Pay

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%).

Schedule

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 Fridays. In addition to these weekly remote days, we offer:20 additional flex remote days annually5 Company Wide Office-Optional weeks tied to major holidays