Sr. Director of Compliance, Futures Merchant; FCM

Position: Sr. Director of Compliance, Futures Commission Merchant (FCM)
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JOIN US ON OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLD

Welcome to the dynamic world of Ninja Trader! 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, Ninja Trader 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, Ninja Trader 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 Ninja Trader? 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? Take it from our employees.

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:

Ninja Trader 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 Ninja Trader 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…