Compliance Officer, Monitoring & Testing at NinjaTrader

Chicago, Illinois, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Trading Platforms, Futures BrokerageIndustries

Requirements

Bachelor’s degree; JD, MBA or master’s degree a plus
3–6 years of experience

Responsibilities

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

Skills

Compliance Monitoring

Testing

Regulatory Compliance

Risk Assessment

Audit Procedures

NinjaTrader

Comprehensive trading platform for active traders

About NinjaTrader

NinjaTrader provides a trading platform tailored for active traders and small trading firms involved in futures, forex, and options markets. The platform allows users to analyze markets, develop trading strategies, and execute trades. It offers advanced charting, market analysis, and trade simulation tools for free, enabling users to test their strategies without financial risk. NinjaTrader generates revenue through trade commissions, fees for premium features, and partnerships with third-party vendors for additional tools. A key feature is its support for automated trading strategies, allowing users to create algorithmic systems that execute trades based on set criteria, which helps reduce emotional decision-making. The platform also emphasizes risk management, encouraging users to trade only with risk capital. Overall, NinjaTrader aims to help traders make informed and less stressful trading decisions while providing a customizable trading experience.

Denver, ColoradoHeadquarters

2004Year Founded

PRIVATE_EQUITYCompany Stage

Data & Analytics, FintechIndustries

201-500Employees

Risks

Regulatory scrutiny from recent fines could lead to operational disruptions.

New sentiment tools may not be well-received, affecting user engagement.

Executive changes could lead to strategic shifts misaligned with user expectations.

Differentiation

NinjaTrader offers a free platform for advanced charting and trade simulation.

The platform supports automated trading strategies, reducing emotional decision-making.

NinjaTrader provides extensive third-party add-ons for a customizable trading experience.

Upsides

Increased millennial interest in futures trading expands NinjaTrader's customer base.

Winning Best Brokerage for Futures enhances NinjaTrader's reputation and attracts more traders.

New leadership from Tobin McDaniel may bring strategic insights to fintech offerings.

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