Senior Compliance Manager, Conduct & Communications

Senior Manager, Conduct & Communications Base pay range: $140,000.00/yr - $160,000.00/yr | Additional compensation: Annual Bonus Disclaimer: The most accurate and up-to-date information about our open roles—including job descriptions, compensation, and benefits—can only be guaranteed on our official job board. For the latest listings and details, please visit: JOIN US ON OUR MISSION TO BECOME THE #1 RETAIL TRADING PLATFORM IN THE WORLD Welcome to the dynamic world of NinjaTrader! As an industry-leading trading platform and futures broker, we empower traders to take control of their financial destiny. NinjaTrader provides cutting-edge products and services to 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. Our growth story is driven by a commitment to innovation and supporting traders on their journey toward trading triumph. Our user base has grown significantly, and we continue to evolve to provide dynamic tools, real-time support, and a community of like-minded traders. Join us as we redefine what’s possible in trading and work toward becoming the world’s top retail-focused trading platform. What you’ll do: The Sr. Manager, Conduct & Communications Compliance is responsible for ensuring all 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. This role also guides governance of employee communications, sales practices, conflicts of interest, and ethics policies as part of the firm’s broader conduct program. 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 a 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 Series 3 license is a plus Compensation: The salary range for this role is $140,000.00 - $160,000.00 USD. In addition, this position offers 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 components of the total compensation package. NinjaTrader offers a 401K plan with a company match up to 3.5% of employee contributions. Annual PTO accrues at 18 days plus seven paid holidays. Location: This role is based in Chicago, IL. There may be remote flexibility for exceptional candidates in select 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, the hybrid schedule is in-office Tuesday through Thursday with remote work on Mondays and Fridays. In addition to these remote days, the role offers: 20 additional flex remote days annually 5 Company Wide Office-Optional weeks tied to major holidays Our Core Benefits Include: Generous PTO 7 Paid Holidays Annually + 5 Conditional Holidays Annually 1 Service Day Annually 401k with 3.5% Company Match Life and Disability Insurance Covered 100% by NinjaTrader We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender, gender identity or expression, or veteran status. We are proud to be an equal opportunity workplace. #J-18808-Ljbffr NinjaTrader