NinjaTrader
Senior Compliance Manager, Conduct & Communications
NinjaTrader, Chicago, Illinois, United States, 60290
Senior Compliance Manager, Conduct & Communications
Chicago or Remote Please note that the most accurate and up-to-date information about our open roles, including job descriptions, compensation, and benefits, can be found on our official job board at https://job-boards.greenhouse.io/ninjatrader. JOIN US ON OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLD Welcome to NinjaTrader, an industry-leading trading platform and futures broker. We empower traders with cutting-edge products and services, including award-winning software and brokerage services, to navigate the world's leading financial markets with confidence. Our growth story is exhilarating, with a 400% increase in our user base to over 1.9 million users in the last five years, making us the number one rated futures brokerage worldwide. We're constantly evolving, pushing boundaries, and modernizing the futures industry. Our commitment to innovation means users always have access to dynamic tools, real-time support, and a community of like-minded traders. At NinjaTrader, you're not just part of a team; you're part of a movement. We empower employees to reach new heights in their careers through a dynamic culture focused on social connection, professional development, and employee recognition initiatives. What you’ll do: The Sr. Manager, Conduct & Communications Compliance ensures all customer-facing communications comply with NFA, CFTC, and internal standards. This role leads NinjaTrader’s pre-use review process, maintains a compliant marketing archive, and partners with Marketing, Growth, Product, and Legal teams to embed compliance early in the content lifecycle. This individual will guide the governance of employee communications, sales practices, conflicts of interest, and ethics policies as part of the firm’s broader conduct program. In this role you will: Serve as the primary compliance advisor for customer-facing marketing, advertising, and promotional materials Review, approve, and document promotional materials to ensure compliance with NFA Rules, CFTC regulatory standards, and internal policies Partner with internal teams to advise on claims, disclosures, and user experience during early campaign planning Maintain a complete marketing archive with clear audit trails and retrieval standards Review employee communications for compliance with policies and internal standards Provide guidance on conflicts of interest, personal trading, and ethical conduct Lead quality assurance on compliance-reviewed materials to monitor approval accuracy and identify trends Track and report key compliance metrics Develop process improvements to increase quality, scalability, and efficiency within the communications review lifecycle Manage and mentor a small team, with responsibility to grow and scale the team over time What you’ll need: Minimum 7+ years of experience in compliance, audit, risk, marketing review, or a related function within financial services 5+ years of experience managing people, projects, or cross-functional initiatives Deep understanding of NFA and CFTC regulations relevant to retail communications Excellent written and verbal communication skills; ability to influence without authority Ability to manage competing priorities and adapt in a fast-paced environment Strong attention to detail and a structured, analytical mindset Series 3 license is a plus Compensation: The salary range for this role is $140,000 - $160,000 USD, with an annual target bonus of 12%. NinjaTrader offers a 401K plan, annual paid time off allowance, and seven paid holidays. Location: This role is based in Chicago, IL, with possible remote flexibility for exceptional candidates in certain states. Hybrid: For Chicago-based employees, we follow a hybrid work schedule with in-office work on Tuesdays through Thursdays and remote work on Mondays and Fridays. Our Core Benefits Include: Generous PTO 7 Paid Holidays Annually + 5 Conditional Holidays Annually 1 Service Day Annually 401k with 3.5% Company Match Life and Disability Insurance Covered 100% by NinjaTrader NinjaTrader is 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.
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Chicago or Remote Please note that the most accurate and up-to-date information about our open roles, including job descriptions, compensation, and benefits, can be found on our official job board at https://job-boards.greenhouse.io/ninjatrader. JOIN US ON OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLD Welcome to NinjaTrader, an industry-leading trading platform and futures broker. We empower traders with cutting-edge products and services, including award-winning software and brokerage services, to navigate the world's leading financial markets with confidence. Our growth story is exhilarating, with a 400% increase in our user base to over 1.9 million users in the last five years, making us the number one rated futures brokerage worldwide. We're constantly evolving, pushing boundaries, and modernizing the futures industry. Our commitment to innovation means users always have access to dynamic tools, real-time support, and a community of like-minded traders. At NinjaTrader, you're not just part of a team; you're part of a movement. We empower employees to reach new heights in their careers through a dynamic culture focused on social connection, professional development, and employee recognition initiatives. What you’ll do: The Sr. Manager, Conduct & Communications Compliance ensures all customer-facing communications comply with NFA, CFTC, and internal standards. This role leads NinjaTrader’s pre-use review process, maintains a compliant marketing archive, and partners with Marketing, Growth, Product, and Legal teams to embed compliance early in the content lifecycle. This individual will guide the governance of employee communications, sales practices, conflicts of interest, and ethics policies as part of the firm’s broader conduct program. In this role you will: Serve as the primary compliance advisor for customer-facing marketing, advertising, and promotional materials Review, approve, and document promotional materials to ensure compliance with NFA Rules, CFTC regulatory standards, and internal policies Partner with internal teams to advise on claims, disclosures, and user experience during early campaign planning Maintain a complete marketing archive with clear audit trails and retrieval standards Review employee communications for compliance with policies and internal standards Provide guidance on conflicts of interest, personal trading, and ethical conduct Lead quality assurance on compliance-reviewed materials to monitor approval accuracy and identify trends Track and report key compliance metrics Develop process improvements to increase quality, scalability, and efficiency within the communications review lifecycle Manage and mentor a small team, with responsibility to grow and scale the team over time What you’ll need: Minimum 7+ years of experience in compliance, audit, risk, marketing review, or a related function within financial services 5+ years of experience managing people, projects, or cross-functional initiatives Deep understanding of NFA and CFTC regulations relevant to retail communications Excellent written and verbal communication skills; ability to influence without authority Ability to manage competing priorities and adapt in a fast-paced environment Strong attention to detail and a structured, analytical mindset Series 3 license is a plus Compensation: The salary range for this role is $140,000 - $160,000 USD, with an annual target bonus of 12%. NinjaTrader offers a 401K plan, annual paid time off allowance, and seven paid holidays. Location: This role is based in Chicago, IL, with possible remote flexibility for exceptional candidates in certain states. Hybrid: For Chicago-based employees, we follow a hybrid work schedule with in-office work on Tuesdays through Thursdays and remote work on Mondays and Fridays. Our Core Benefits Include: Generous PTO 7 Paid Holidays Annually + 5 Conditional Holidays Annually 1 Service Day Annually 401k with 3.5% Company Match Life and Disability Insurance Covered 100% by NinjaTrader NinjaTrader is 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.
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