Senior Compliance Manager, Conduct & Communications

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Make your application after reading the following skill and qualification requirements for this position.

Overview JOIN US ON OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLD. Welcome to the dynamic world of NinjaTrader. We are an industry-leading trading platform and futures broker focused on empowering traders with award-winning software and brokerage services to navigate the world’s leading financial markets.

Over the last 20 years NinjaTrader has grown to support over 1.9 million users and is the number one rated futures brokerage worldwide. We are committed to innovation, real-time support, and a community of like-minded traders. We offer a dynamic culture focused on social connection, professional development, and employee recognition initiatives.

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.

What you’ll do The Sr. Manager, Conduct & Communications Compliance is responsible for ensuring 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 with Marketing, Growth, Product, and Legal teams to embed compliance early in the content lifecycle. It also guides 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 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 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 with a company match up to 3.5% of employee contributions. Annual paid time off accrues at 18 days per year (some positions may qualify for more) plus seven paid holidays.

Location and work setup

Location :

This role is based in Chicago, IL. There may be remote flexibility for exceptional candidates in 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

Benefits

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 Insurance Covered 100% by NinjaTrader

We are committed to equal employment opportunity regardless of identity, ancestry, citizenship, marital status, or veteran status. We are proud to be an equal opportunity workplace.

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