Compliance Officer, Operations & Reporting

What you’ll do: 

The Compliance Operations Officer serves as the operational backbone of NinjaTrader’s Compliance program, driving operational excellence and continuous improvement across the department. 

This individual will own compliance dashboards, workflows, case management systems, and audit readiness, and will act as a central coordinator for projects, senior management reporting, and process improvement across the compliance department. This is an ideal opportunity for someone who wants to be the operational anchor of a fast-growing compliance team, ensuring programs are scalable, auditable, and regulator-ready. 

In this role you will: 

• Drive execution and tracking of key deliverables across the compliance department and provide updates to the CCO 
• Administer the compliance case management system (complaints, marketing approvals, exceptions, regulatory inquiries) 
• Maintain organized compliance inventories (policies, procedures, regulatory mapping, attestations) 
• Build and maintain compliance dashboards and metrics (complaints, promotions, audit results, filings, training completion) and report on metrics aligned to department and company goals 
• Own and maintain the compliance regulatory calendar (e.g., NFA questionnaires, CFTC filings, audits, annual certifications) 
• Coordinate regulatory reporting calendars and assist in preparing CCO reports to senior management and executives 
• Run core team cadences (e.g., weekly meetings, planning cycles, retrospectives) 
• Identify process gaps, bottlenecks, or inefficiencies in compliance operations 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 
• Provide decision-support to the CCO through analysis, prep, and coordination across functions 
• Support compliance team onboarding, training, and engagement initiatives 

What you’ll need: 

• Bachelor’s degree 
• 4+ years of experience in compliance operations, legal operations, audit, or risk management in fintech, brokerage, banking, or other regulated industries 
• Experience with NFA and CFTC compliance obligations strongly preferred 
• Experience building compliance dashboards or regulatory reports 
• Strong understanding of compliance domains such as AML/BSA, CFTC, or NFA 
• Proficient in workflow and knowledge management tools (e.g., Salesforce, Monday, JIRA) 
• Excellent organizational and project management skills 
• Detail-oriented with ability to juggle multiple priorities and manage complex operational programs 
• Strong communicator, able to translate compliance metrics into clear narratives for executives 

Bonus points for: 

• Experience in a futures/derivatives or retail brokerage environment 
• Enjoy being the operational anchor who ensures nothing slips through the cracks 
• Take pride in building structured, repeatable processes that withstand regulatory scrutiny 
• Are proactive, data-driven, and eager to implement tools that make compliance scalable 
• Value teamwork and can balance business partnership with regulatory independence 

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. *There may be remote flexibility for exceptional candidates in the following states: 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