Company Name: tastytrade
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 advertisement 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:
- 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.
- Series 7, Series 24; Series 4, 3, and 63 preferred.
- At least 2-3 years of work experience in the broker-dealer industry.
- Undergraduate college degree required.
- Required: Series 7, Series 24, and Series 63
- Preferred: Series 4 and Series 3
- Performance Bonuses
- Stock Purchase Options
- 401k Plan
- Continued Education Support
- 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
The IG North America family of companies 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 IG US, 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. 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: We have a great new office in the West Loop of Chicago and are currently working hybrid meaning we’d love to see your face 3 days week or more!
tastytrade | tastylive | IG North America
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!