[Remote] Compliance Officer, Operations & Reporting at NinjaTrader

Chicago, Illinois, United States

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Not SpecifiedCompensation

Junior (1 to 2 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Trading PlatformsIndustries

Requirements

Bachelor's degree in a relevant field (e.g., finance, law, compliance, business administration)
2+ years of experience in compliance, operations, or a related field
Proven track record of compliance management, case management, and project management
Strong analytical and problem-solving skills
Excellent communication and interpersonal skills
Ability to work in a fast-paced environment with multiple priorities
Familiarity with compliance regulations (e.g., FINRA, SEC, NFA) and industry-specific laws
Experience with compliance software and technology (e.g., case management systems, audit readiness tools)
Strong attention to detail and organizational skills
Ability to maintain confidentiality and handle sensitive information

Responsibilities

Own compliance dashboards and workflows to ensure operational excellence and continuous improvement
Administer the compliance case management system, including complaints, marketing approvals, exceptions, and regulatory inquiries
Maintain organized compliance inventories, including policies, procedures, regulatory mapping, and attestations
Build and maintain compliance dashboards and metrics, including complaints, promotions, audit results, filings, and training completion
Coordinate regulatory reporting calendars, including NFA questionnaires, CFTC filings, audits, and annual certifications
Run core team cadences, including weekly meetings, planning cycles, and retrospectives
Identify process gaps and implement scalable solutions to improve efficiency and control effectiveness
Monitor progress on issue tracking, remediation follow-up, and escalation
Serve as project manager for cross-functional initiatives involving Marketing, Finance, HR, and Security
Champion adoption of compliance technology and automation

Skills

Compliance

Regulatory

Risk Management

Reporting

Financial Regulations

Policy Development

Communication

Analytical Skills

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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