Senior Director of Compliance, Futures Commission Merchant
NinjaTrader
full-time
Posted on:
Location Type: Hybrid
Location: Chicago • California • Colorado • United States
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Salary
💰 $180,000 - $230,000 per year
Job Level
About the role
- Partner with the CCO in overseeing the Firm’s compliance program
- Maintain and enhance compliance policies and control documentation
- Translate regulatory obligations into supervisory controls
- Design and evolve a data-driven compliance monitoring program
- Identify opportunities to eliminate manual dependencies
- Lead regulatory change management efforts
- Manage day-to-day regulatory engagement activities
- Advise senior management on regulatory obligations
- Support new product launches and operational enhancements
- Manage and mentor members of the compliance staff
- Prepare compliance reporting and governance materials
- Identify emerging regulatory risks and control gaps
- Serve as the CCO’s designated alternate
Requirements
- 8–12 years of futures compliance experience
- Strong working knowledge of CFTC regulations
- 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
- Demonstrated experience leading regulatory examinations
- Ability to design, implement, and scale supervisory controls
- Strong judgment and clear communication skills
Benefits
- 401K plan with up to 3.5% company match
- Annual paid time off of 23 days
- 7 paid holidays annually
- Health, Vision, Dental Coverage
- Life and Disability Insurance covered 100% by NinjaTrader
- Paid Parental Bonding Leave
- Service Day Annually
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance program managementregulatory obligations translationdata-driven compliance monitoringregulatory change managementcompliance reportingsupervisory controls designregulatory examinations leadershipcustomer protection frameworksfinancial responsibility frameworkscontrol gap identification
Soft Skills
strong judgmentclear communicationmentoringadvising senior managementleadershiporganizational skillsproblem-solvinganalytical skillscollaborationstrategic thinking