Anti- Laundering; AML Compliance Associate

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Welcome to the dynamic world of Ninja Trader! As an industry-leading trading platform and futures broker, we're on a mission to empower 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, Ninja Trader equips traders with award-winning software and brokerage services to navigate the world's leading financial markets with confidence.

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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.

What you'll do:

The Anti-Money Laundering (AML) Associate at Ninja Trader will play a critical role in overseeing the effective implementation and enforcement of the firm’s Anti-Money Laundering Program. This individual will be responsible for monitoring compliance with regulatory requirements, conducting investigations into suspicious activities, and ensuring the firm adheres to best practices in AML compliance. In addition, the AML Associate will support the broader compliance team in managing and enhancing other key regulatory programs, helping to maintain the firm’s commitment to a robust and proactive compliance culture.

In This Role You Will

• Conduct AML assessments, including transaction reviews, enhanced due diligence (EDD), and customer activity analysis to identify and escalate unusual or suspicious patterns
• Investigate potential matches against sanctions lists, Politically Exposed Persons (PEPs), adverse media, and internal watchlists, ensuring timely and accurate processing
• Monitor real-time and retrospective client transactions using rules-based systems, taking appropriate actions based on findings
• Perform Customer Due Diligence (CDD) for new clients and conduct periodic compliance reviews to ensure regulatory adherence
• Enhance and maintain surveillance programs, internal controls, and watchlists to detect regulatory violations and meet evolving compliance standards
• Manage compliance reporting deadlines, submitting required documentation to regulatory bodies such as OCC, FinCEN, and OFAC
• Develop, update, and enforce AML policies, procedures, and internal controls in alignment with regulatory changes and best practices
• Collaborate with stakeholders to proactively identify and resolve compliance issues, mitigating risks and aligning operations with legal obligations
• Oversee internal control systems to ensure effectiveness in identifying and managing risks related to money laundering and financial crimes
• Provide guidance on compliance matters, responding to inquiries from customers and management, and supporting firmwide objectives

• 3-5 years of experience in an AML-related role required
• Working knowledge and understanding of BSA/AML rules, laws, and regulations, including the USA PATRIOT Act
• Ability to understand futures transactions and products and to apply applicable rules and regulations to actual situations
• BA or BS Degree
• Excellent writing, speaking, and organization skills
• Dependable team player with a strong work ethic

• Strong knowledge of U.S. Futures rules and regulations preferred; prior experience as a compliance officer with an Introducing Broker, NFA, and/or CFTC preferred but not necessary