Compliance Specialist

What youll 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. This role reports to the Team Lead – Compliance and plays a key part in fostering a culture of regulatory compliance across the organization.

In this role you will:

• Develop and maintain compliance policies and procedures in line with CFTC and NFA rules, including Bylaw 1101.
• Respond to regulatory and legal inquiries, exams, and audits.
• Review and approve customer-facing communications, including promotional materials, social media.
• Maintain the firm’s ISSP and Privacy Policy to support cybersecurity and data protection efforts.
• Review and assist in resolving customer complaints and regulatory issues.
• Train staff on compliance topics such as ethics, cybersecurity, customer protection, and anti-fraud measures.
• Support the Risk Management Program, including transaction monitoring, margin, and segregated funds review.
• Assist in developing and testing the Business Continuity and Disaster Recovery (BC/DR) plan.
• Maintain standard operating procedures for the Compliance team.
• Conduct third-party risk assessments related to vendors and service providers.
• Provide cross-functional compliance support and lead or contribute to special projects.\

What youll need:

• Bachelor’s degree in a related field
• Minimum 2 years of compliance experience in the futures industry (IB, FCM, or regulator).
• 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.
• Ability to thrive while working cross-functionally with all departments within the company
• Strong organizational skills and attention to detail
• Excellent written and verbal communication skills
• Ability to navigate complex issues while meeting deadlines
• Proficiency in Microsoft Office Suite

Bonus Points for:

• Experience reviewing promotional or marketing materials through a regulatory lens

Compensation:

The salary range for this role will be $90,000 - $110,000 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. Additional details on our total compensation package and benefits are listed below.