Sr. Director of Compliance, Futures Commission Merchant (FCM)
💰 $200,000 – $350,000/yr
Job Description
Senior Director of Compliance – Futures Commission Merchant (FCM)
Join NinjaTrader, the industry-leading trading platform and futures broker, as Sr. Director of Compliance, Futures Commission Merchant (FCM). This is a strategic leadership role designed for an experienced compliance executive ready to shape the regulatory framework of a rapidly growing fintech organization serving over 2 million traders worldwide.
About NinjaTrader
Since 2003, NinjaTrader has been empowering retail traders with cutting-edge software, award-winning brokerage services, and real-time support to navigate global financial markets with confidence. As the number-one rated futures brokerage worldwide, we're on a mission to become the #1 retail trading platform globally. We're not just building products—we're building a movement that modernizes the futures industry through innovation, technology, and trader-centric solutions.
The Role
As Sr. Director of Compliance for our FCM operations, you will oversee all regulatory compliance functions for a Futures Commission Merchant, ensuring adherence to CFTC, NFA, and other applicable regulatory requirements. You will lead a compliance team, develop and implement comprehensive compliance policies and procedures, manage regulatory reporting, conduct internal audits, and serve as a key liaison with external regulators.
This leadership position requires deep expertise in futures industry regulations, a proven track record of managing compliance programs at scale, and the ability to balance innovation with rigorous regulatory oversight. You'll report directly to senior leadership and play a critical role in protecting the firm and our trader community.
Key Responsibilities
- Lead and manage the FCM compliance function, including policy development, implementation, and monitoring
- Ensure full compliance with CFTC, NFA, and all applicable futures industry regulations
- Oversee regulatory reporting, filings, and examinations
- Develop and execute compliance training programs across the organization
- Conduct risk assessments, internal audits, and compliance testing
- Manage relationships with regulatory bodies and respond to inquiries
- Mentor and develop compliance team members
- Identify and mitigate compliance risks in new products, services, and market expansions
Ideal Candidate Profile
You bring 15+ years of compliance experience in the futures industry, with at least 5 years in a senior leadership or director-level role. You possess expert knowledge of CFTC and NFA regulations, understand FCM operations, and have successfully managed compliance teams. Your background includes regulatory examination experience, and you're comfortable engaging directly with regulators. You combine technical regulatory expertise with strategic thinking and the ability to communicate complex compliance concepts to non-specialist audiences.
Why NinjaTrader
We invest in our people. You'll enjoy a dynamic culture focused on social connection, professional development, and employee recognition. Work remotely or from our Chicago headquarters—flexibility that respects your lifestyle. Access to cutting-edge tools, competitive benefits, and the opportunity to impact the financial futures of millions of traders globally.
💰 Compensation not publicly listed. Market estimate for similar roles: from $200K, varying by experience and location.