Compliance Specialist

NinjaTrader•Chicago, IL

1d•Hybrid

About The Position

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.

Requirements

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

Nice To Haves

Experience reviewing promotional or marketing materials through a regulatory lens

Responsibilities

Develop and maintain compliance policies and procedures in line with CFTC and NFA rules
Respond to regulatory and legal inquiries, exams, and audits
Review and approve customer-facing communications, including promotional materials and 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