# Sr. Director of Compliance, Futures Commission Merchant (FCM)

**Company:** [NinjaTrader](https://hotfix.jobs/companies/ninjatrader)
**Location:** Chicago, IL, California, Colorado, Florida, Georgia, Illinois, Indiana, Minnesota, Missouri, Montana, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Utah, Vermont, Virginia, Washington, Washington, DC, Wisconsin
**Role:** Legal
**Salary:** $180k – $230k/yr
**Experience:** 8+ years
**Skills:** Cftc Regulations, Nfa Compliance Rules, Cme Group Rules, Fcm Compliance, Regulatory Examinations, Supervisory Controls, Compliance Monitoring, Regtech, Automation, Financial Responsibility, Customer Funds Segregation, Net Capital Compliance, Series 3
**Posted:** 2026-04-23

> Leads FCM compliance program as CCO deputy, overseeing governance, monitoring, regulatory engagement with CFTC/NFA, and scaling automated infrastructure for futures/swaps. Requires 8-12 years futures compliance experience and deep knowledge of CFTC, NFA, exchange rules.

## Job Description

## Responsibilities
- Partner with the CCO in overseeing the Firm’s compliance program for futures, options on futures, and cleared swaps activities conducted as an FCM
- Maintain and enhance written supervisory procedures, compliance policies, and supporting control documentation governing customer protection, supervision, complaint handling, and other applicable regulatory requirements
- Translate regulatory obligations into practical supervisory controls, clear ownership, and evidence standards
- Design and evolve a data-driven compliance monitoring and testing program, leveraging automation, workflow tools, analytics, and regtech solutions to increase coverage and reduce manual lift
- Identify opportunities to eliminate manual dependencies and systematize, automate, and embed compliance controls within trading, clearing, finance, and customer workflows
- Lead regulatory change management efforts, including assessment of CFTC, NFA, and exchange rule developments, impact analysis, and implementation across business units
- Lead day-to-day regulatory engagement activities, including coordination of NFA examinations, CFTC inquiries, and exchange reviews, and preparation of materials for CCO review and approval
- Provide second-line oversight support with respect to financial responsibility requirements, including customer funds segregation, secured amount calculations, and net capital compliance, in coordination with Finance and Operations
- Advise senior management and business stakeholders on regulatory obligations affecting trading conduct, clearing operations, promotional standards, margin and collateral processes, reporting, supervision, and operational change
- Support new product launches, operational enhancements, automation initiatives, and technology deployments through structured compliance-by-design assessments
- Manage and mentor members of the compliance staff while fostering a culture of continuous improvement
- Prepare compliance reporting and governance materials for senior management and assist in drafting the Annual CCO Report and other key program deliverables
- Identify emerging regulatory risks, control gaps, or scalability constraints and escalate material matters to the CCO in a timely and well-supported manner
- Serve as the CCO’s designated alternate consistent with delegated authority, including providing coverage in key meetings, regulatory interactions, and internal governance forums as needed

## Requirements
- 8–12 years of futures compliance experience, including substantial experience within or directly supporting an FCM
- Strong working knowledge of **CFTC** regulations applicable to FCMs
- Strong working knowledge of **NFA** Compliance Rules and Interpretive Notices
- Strong working knowledge of exchange rulebooks (e.g., **CME Group**)
- Strong working knowledge of customer protection and financial responsibility frameworks (segregation, secured amount, net capital)
- Demonstrated experience leading or materially supporting regulatory examinations, inquiries, and remediation programs
- Ability to design, implement, and scale supervisory controls, governance processes, and compliance infrastructure
- Strong judgment, clear communication, and the ability to influence cross-functional stakeholders

## Nice-to-Haves
- **Series 3** preferred
- Experience in a growth environment where compliance infrastructure is being scaled

## Compensation
- Salary range: **$180,000 - $230,000 USD**
- Annual target bonus: **15%** (50% individual performance, 50% company/team performance)
- 401k with **3.5%** company match
- **23 days** PTO + 7 paid holidays

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