Compliance Specialist at NinjaTrader

Chicago, ILFull-timeCompliancePosted about 1 month ago

About the Role

<div class="content-intro"><hr> Disclaimer: Please be advised that the most accurate and up-to-date information about our open roles—including job descriptions, compensation, and benefits—can only be guaranteed on our official job board. For the latest listings and details, please visit: <a href="https://job-boards.greenhouse.io/ninjatrader">https://job-boards.greenhouse.io/ninjatrader</a>. <hr> JOIN US ON OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLD Welcome to the dynamic world of NinjaTrader! As an industry-leading trading platform and futures broker, we're empowering traders to take control of their financial destiny. How do we do it? We provide cutting-edge products and services that enhance the trading journey. Whether a seasoned pro or just starting out, NinjaTrader equips traders with award-winning software and brokerage services to navigate the world's leading financial markets with confidence.   Our growth story is nothing short of exhilarating. Since 2003, NinjaTrader has been dedicated to understanding and supporting traders on their journey toward trading triumph. Through those efforts, our user base has grown to over 2 million users and we have become the number one rated futures brokerage worldwide.  But we're not stopping there. We're constantly evolving, pushing boundaries, and modernizing the futures industry. Our commitment to innovation means users will always have access to dynamic tools, real-time support, and a community of like-minded traders.   So, why work at NinjaTrader? Here, you're not just part of a team; you're part of a movement. We empower employees to reach new heights in their careers by providing a dynamic culture focused on social connection, professional development, and employee recognition initiatives. Sounds too good to be true? <a href="https://www.greatplacetowork.com/certified-company/7025362">Take it from our employees.</a>  Join us as we redefine what's possible in trading, advocate for our customers, and continue our journey toward becoming the world's top retail-focused trading platform in the world.  </div>What you'll do: As a Compliance Specialist, you will apply your understanding of CFTC regulations, NFA and exchange rules, and the firm’s internal compliance policies to support NinjaTrader’s futures brokerage operations. You will assist with drafting and maintaining policies and procedures, supporting responses to regulatory and legal inquiries, and coordinating with the Marketing Team to review and approve promotional materials. You will also help address customer compliance-related questions, participate in internal investigations, and support cross-functional initiatives such as training, vendor risk assessments, and business continuity planning. Compliance plays a key part in fostering a culture of regulatory compliance across the organization. In this role you will: <ul> <li>Develop and maintain compliance policies and procedures in line with CFTC and NFA rules</li> <li>Respond to regulatory and legal inquiries, exams, and audits</li> <li>Review and approve customer-facing communications, including promotional materials and social media</li> <li>Maintain the firm’s ISSP and Privacy Policy to support cybersecurity and data protection efforts</li> <li>Review and assist in resolving customer complaints and regulatory issues</li> <li>Train staff on compliance topics such as ethics, cybersecurity, customer protection, and anti-fraud measures</li> <li>Support the Risk Management Program, including transaction monitoring, margin, and segregated funds review</li> <li>Assist in developing and testing the Business Continuity and Disaster Recovery (BC/DR) plan</li> <li>Maintain standard operating procedures for the Compliance team</li> <li>Conduct third-party risk assessments related to vendors and service providers</li> <li>Provide cross-functional compliance support and lead or contribute to special projects</li> </ul> What you'll need: <ul> <li>Bachelor’s degree in a related field</li> <li>Minimum 2 years of compliance experience in the futures industry (IB, FCM, or regulator)</li> <li>Experience with key compliance areas, including Bylaw 1101, disclosures, privacy, cybersecurity, customer communications, complaints, training, risk management, transaction monitoring, BC/DR, vendor due diligence, and margin/segregated funds review</li> <li>Ability to thrive while working cross-functionally with all departments within the company</li> <li>Strong organizational skills and attention to detail</li> <li>Excellent written and verbal communication skills</li> <li>Ability to navigate complex issues while meeting deadlines</li> <li>Proficiency in Microsoft Office Suite</li> </ul> Bonus Points for: <ul> <li>Experience reviewing promotional or marketing materials through a regulatory lens</li> </ul> Compensation: The salary range for this role will be $90,000.00 - $110,000.00 USD. In addition, this position will also receive an annual target bonus of 6%. Bonus pay at NinjaTrader is based on individual performance (50%) as well as company/team performance (50%). Salary and bonus earnings are only two components of the total compensation package offered by NinjaTrader. 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 18 days per year (some positions may qualify for more) plus seven paid holidays. Location: This role is based in Chicago, IL. We are not open to remote candidates for this role 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: <ul> <li>20 additional flex remote days annually</li> <li>5 Company Wide Office-Optional weeks tied to major holidays</li> </ul><div class="content-conclusion">Our Core Benefits Include: <ul> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">Generous PTO</li> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">7 Paid Holidays Annually + 5 Conditional Holidays Annually</li> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">1 Service Day Annually</li> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">401k with 3.5% Company Match</li> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">Paid Parental Bonding Leave</li> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">Health, Vision, Dental Coverage</li> <li style="font-size: 12pt; font-family: verdana, geneva, sans-serif;">Life and Disability Insurance Covered 100% by NinjaTrader</li> </ul> We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender, gender identity or expression, or veteran status. We are proud to be an equal opportunity workplace.</div>

About the Role

About the Role

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