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 o
Benefits
Vision insurance
Additional Information
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Welcome to the dynamic world of NinjaTrader! As an industry-leading trading platform and futures broker, we're empowering 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.
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Ninjatrader · Chicago