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Marketing Compliance Associate

Marketing Compliance Associate

tastytradeChicago, IL, United States
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Company Name : tastytrade

Role : Marketing Compliance Associate

Location : Chicago, IL - Hybrid (3 days / week in office)

Required : Series 7, Series 24, and Series 63 (Series 3 & 4 required post-hire)

As the Marketing Compliance Associate , the main responsibility of the position is to review and approve the firm's retail communications with the public for marketing and advertising initiatives. You will coordinate directly with the Director of Marketing Compliance on the review of advertising communications and marketing materials to ensure compliance with applicable regulatory rules governed by FINRA, SEC, NFA, and CFTC.

What you'll do :

  • Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
  • Help maintain relevant policies and procedures related to marketing and advertising communications
  • Maintain the firm's comprehensive record inventory and ensure compliance with firm procedures to evidence reviews, approvals, intended first use and last use dates
  • Incorporate relevant changes to regulatory rules applicable to the firm's business into the firm's procedures and ensure new marketing materials are approved accordingly
  • Provide other compliance support when needed
  • Help provide training and guidance on key policies and procedures related to the firm's marketing compliance program

Who you are :

  • Active Series 7, 24 and 63 licenses are required to be considered for this role.
  • Extensive understanding of the regulatory environment regarding FINRA and NFA rules governing broker-dealer communications, including FINRA Rule 2210 and NFA Rule 2-29
  • Understanding of various asset classes, and applicable regulatory requirements and guidance, including equities, options, futures, and cryptocurrency
  • Effective communication skills and attention to detail
  • Ability to work both independently and collaboratively
  • Ability to demonstrate good judgement
  • Able to exhibit the highest standard of integrity and professional ethics
  • Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
  • At least 2-3 years of work experience in the broker-dealer industry
  • Undergraduate college degree required
  • Compliance experience strongly preferred

    • Licensing :

  • Required : Series 7, Series 24, and Series 63 (must be active)
  • Preferred : Series 4 and Series 3 (will be required post-hire)

    • Team Perks / Benefits :

  • Performance Bonuses
  • Stock Purchase Options
  • 401k Plan
  • Medical / Dental / Vision Benefits
  • 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
  • Shuttle to / from Metra
  • Office located in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars

    • Salary Range : $100,000 - $110,000

    The actual salary offered will be based on the candidate's level of experience and qualifications

    About Us :

    The tasty house of brands empowers individual traders differently. tastylive, founded in 2011, is an online financial media network, tastytrade (previously known as tastyworks) is a self-directed retail brokerage firm that launched in 2017, tasty Software Solutions and tastyfx, is a registered Forex broker-dealer. In 2021, London-based IG Group acquired tastylive, Inc. (previously known as tastytrade) and assigned it to lead business in North America. tastyfx is the fastest-growing forex broker in the US over the past few years. Changing the IG US name to tastyfx marks the next chapter, in aligning with the tasty brand family and offering a more forex-focused experience. 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.

    Location : Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.

    tastytrade | tasty live | tastyfx | tastycrypto

    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 anyway. You may be just the right candidate for this or other roles!
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    Compliance Associate • Chicago, IL, United States