Senior Manager, Conduct & Communications Compliance - Remote

Overview

The Sr. Manager, Conduct & Communications Compliance is responsible for ensuring all customer-facing communications comply with NFA, CFTC, and internal standards while leading the compliance review process.

In Short

• Serve as the primary compliance advisor for marketing and promotional materials.
• Review and approve promotional materials to ensure compliance.
• Collaborate with internal teams during campaign planning.
• Maintain a compliant marketing archive.
• Monitor employee communications for compliance.
• Provide guidance on conflicts of interest and ethical conduct.
• Lead quality assurance on compliance-reviewed materials.
• Track and report key compliance metrics.
• Develop process improvements for the communications review lifecycle.
• Manage and mentor a small team.

Requirements

• Minimum 7+ years in compliance or related financial services role.
• 5+ years managing people or projects.
• Deep understanding of NFA and CFTC regulations.
• Excellent communication skills; ability to influence without authority.
• Ability to manage competing priorities in a fast-paced environment.
• Strong attention to detail and analytical mindset.

Benefits

• Generous PTO.
• 7 Paid Holidays + 5 Conditional Holidays Annually.
• 401k with 3.5% Company Match.
• Health, Vision, Dental Coverage.
• Life and Disability Insurance Covered 100% by NinjaTrader.