Compliance Officer, Monitoring & Testing

What you'll do:

The Compliance Monitoring & Testing Officer leads NinjaTrader’s second-line compliance assurance program, providing independent oversight of the firm’s regulatory and operational control environment. This role is responsible for designing and executing a risk-based monitoring and testing program to evaluate the effectiveness of policies, procedures, and controls across the business — ensuring compliance with CFTC, NFA, and other applicable regulations.

This is an ideal opportunity for someone who can combine exam-ready testing discipline with modern risk governance in a fast-growing, retail futures brokerage environment.

In this role you will:

• Design and manage NinjaTrader’s risk-based compliance monitoring and testing program, including testing procedures, methodologies, and risk assessments aligned with regulatory expectations and industry best practices
• Develop and execute an annual and rolling testing plan, mapping reviews to compliance and operational risk areas
• Oversee remediation of gaps identified in the testing or monitoring activities
• Maintain and report on key risk indicators (KRIs) and risk appetite metrics; use insights to inform program priorities
• Conduct and document compliance risk assessments to evaluate risk exposure and identify areas for enhanced monitoring, testing, or training
• Build strong relationships with stakeholders and act as key point of contact for test deliverables, findings, and remediation
• Prepare clear, concise reports for senior management that summarize testing scope, approach, overall results, and recommendations
• Support automation of testing and reporting through data-driven tools and dashboards
• Monitor emerging risks, regulatory developments, and industry trends to inform risk strategy
• Participate in cross-functional initiatives and special projects as they arise to strengthen the Compliance function

What you'll need:

• Bachelor’s degree; JD, MBA or master’s degree a plus
• 3–6 years of experience in compliance testing, internal audit, risk management, or compliance monitoring, ideally in a futures, brokerage, or financial services environment
• Solid understanding of U.S. futures and derivatives regulations and the ability to quickly learn new areas
• Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues
• Excellent organizational and project management skills; detail-oriented with ability to juggle multiple priorities involving different partners and groups, with limited oversight and direction
• Strong communicator, able to translate compliance metrics into clear narratives for senior management
• Proficient in workflow and knowledge management tools (e.g., Salesforce, Monday, JIRA, or similar)

Bonus points for:

• In-depth knowledge of CFTC/NFA requirements, including supervisory and disclosure obligations, and CFTC Regulation 1.11 (Risk Management Program)
• Experience identifying and contributing to the implementation of new technologies and innovative concepts that make compliance scalable
• Ability to work independently while maintaining collaboration and transparency across teams

Compensation:

The salary range for this role will be $105,000.00 - $120,000.00 USD. In addition, this position will also receive an annual target bonus of 10%. 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. We are not open to remote candidates for this role

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