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Senior Compliance Manager, Conduct & Communications

Chicago or Remote*

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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 NinjaTrader! As an industry-leading trading platform and futures broker, we're on a mission to empower 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, NinjaTrader 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. Over the last 20 years, NinjaTrader has been dedicated to understanding and supporting traders on their journey toward trading triumph. In the last five years alone, our user base has grown by 400% to over 1.9 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 NinjaTrader? 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: 

The Sr. Manager, Conduct & Communications Compliance is responsible for ensuring all customer-facing communications, including advertisements, website content, affiliate materials, and product disclosures, comply with NFA, CFTC, and internal standards. This role leads NinjaTrader’s pre-use review process, maintains a compliant and auditable marketing archive, and partners closely with Marketing, Growth, Product, and Legal teams to embed compliance early in the content lifecycle.  

This individual will also 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 all customer-facing marketing, advertising, and promotional materials 
  • Review, approve, and document promotional materials, affiliate/influencer content, and website disclosures to ensure they meet NFA Rules, CFTC regulatory standards, and internal policies 
  • Partner with internal partners, including Marketing, Growth, Customer Service, and Product teams, during early campaign and feature planning to advise on claims, disclosures, and user experience 
  • Maintain a complete marketing archive with clear audit trails and retrieval standards 
  • Review and monitor employee communications (email/chat) for compliance with policies and internal standards 
  • Provide guidance on conflicts of interest, personal trading, and ethical conduct, escalating to the CCO as needed 
  • Lead quality assurance (QA) on compliance-reviewed materials to monitor approval accuracy and identify trends or recurring issues 
  • Track and report key compliance metrics including pre-use review SLAs, exceptions, QA results, and retrieval effectiveness 
  • Develop and implement 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, evolving environment 
  • Strong attention to detail and a structured, analytical mindset 

Bonus points for: 

  • Series 3 license is a plus 

Compensation: 

The salary range for this role will be $140,000.00 - $160,000.00 USD. In addition, this position will also receive an annual target bonus of 12%. 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. 

Location: 

This role is based in Chicago, IL. *There may be remote flexibility for exceptional candidates in the following states: California, Colorado, Florida, Georgia, Illinois, Indiana, Minnesota, New York, North Carolina, Ohio, Oregon, South Carolina, Texas, Utah, Virginia, Washington, Washington D.C., Wisconsin, New Jersey, Pennsylvania. 

Hybrid: 

For Chicago-based employees, we follow a hybrid work schedule: In-office Tuesday through Thursday, with remote work on Mondays and Fridays. In addition to these weekly remote days, we offer: 

  • 20 additional flex remote days annually 
  • 5 Company Wide Office-Optional weeks tied to major holidays 

Our Core Benefits Include:

  • Generous PTO
  • 7 Paid Holidays Annually + 5 Conditional Holidays Annually
  • 1 Service Day Annually
  • 401k with 3.5% Company Match
  • Paid Parental Bonding Leave
  • Health, Vision, Dental Coverage
  • Life and Disability Insurance Covered 100% by NinjaTrader

We are 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. We are proud to be an equal opportunity workplace.

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