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

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

What you'll 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 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.

In this role you will: 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

What you'll need: 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

NinjaTrader is hiring for this role on CareerPlace.

Apply on the company website through NinjaTrader.

Imported from employer careers page. Source ref: 3d886eb0bddf.