Associate Compliance Officer

Company Name: tastytrade

As the Associate Compliance Officer, you will entail compliance oversight of existing firm procedures, assisting with regulatory audits and information requests, and implementing enhancements and new practices that adapt to evolving regulatory frameworks. The Associate Compliance Officer role requires a sound understanding of broker-dealer compliance obligations and related rules, a motivated work ethic and detail-oriented, analytical skillset that is adaptable for a dynamic environment.

What you’ll do: 

• Conduct thorough compliance oversight to enforce firm procedures
• Assist and/or directly manage record productions for various regulatory audits, investigations, and inquiries
• Collaborate with internal teams such as trade desk, legal, and business operations.
• Uphold with the firm’s recordkeeping and documentation management practices, ensuring adherence to applicable regulatory requirements
• Strong written and oral communication skills
• Implement approved enhancement changes
• Remain aware and communicate relevant changes in market conduct, regulations, and related industry practices

Who you are:

• Active Series 7 & 63 (or 66) licenses; series 3, 4, and 24 licenses are desirable
• Sound working knowledge of relevant broker-dealer regulatory frameworks
• 2 years or more of experience in broker-dealer compliance
• Diligent, disciplined, and motivated work ethic
• Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties and customers
• Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization

Team Perks:

• Performance Bonuses
• Stock Purchase Options
• 401k Plan
• 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
• 10 Paid Sick Days
• Gym Membership Reimbursement
• Commuter Benefits
• Pet Insurance
• Wellness & Mental Health Programs
• Charitable Donation Matching
• Two Paid Volunteer Days Off
• Daily catered lunch when in the office
• Full kitchen with snacks and beverages
• In-building gym
• CTA stop a block away, Shuttle to/from Metra
• Office located in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars

Our Company:

The tastytrade, Inc. family of companies empowers individual traders differently. Founded in 2011 as an online financial media network, tastylive is now affiliated with companies like a brokerage firm (tastytrade in 2017), a research lab (quiet foundation in 2018), and a magazine (luckbox in 2019). In 2021, London-based IG Group acquired tastytrade, Inc. and assigned it to lead business in North America. This combined team has years of experience like institutional brokers but also a passion for disrupting the entire trading industry.  
 
Our dream is simple: we want more people to find more success with a better trading experience. That’s why we’re investing heavily in the right people, technology, and media to make that happen in the US and across the globe.

The diversity of our offerings and the technology that powers them provide our engineers with exposure to a broad set of tools and the opportunity to dig deep into specific problems.
 
tastytrade | tastylive | tastyfx
1330 W Fulton Market, Chicago, IL 60607 

*Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse, inclusive, and authentic workplace, so if you're excited about this role but your experience doesn't align perfectly, we encourage you to apply anyways. You may be just the right candidate for this or other roles!