Sr. Director of Compliance, Futures Commission Merchant
About The Position
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. Reporting to the CCO, this role provides strategic leadership and hands-on oversight of the Firm’s 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.
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
- 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
Nice To Haves
- Series 3 preferred
- Experience in a growth environment where compliance infrastructure is being scaled
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
- 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 CCO’s designated alternate consistent with delegated authority, including providing coverage in key meetings, regulatory interactions, and internal governance forums as needed
Benefits
- 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.
- 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
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
