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Job Overview & Application

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Compliance Associate, Partner Relationships

Role OverviewApplication

Company Name: tastytrade

Role: Compliance Associate, Partner Relationships

As the Compliance Associate, Partner Relationships, you will be responsible for onboarding and management of third-party marketing partners with the firm, tastytrade. You will report to and work closely with the Director of Marketing Compliance on all matters related to marketing partnership for the firm such as, but not limited to perform due diligence on potential partners, identify potential risks for the firm, regular oversight monitoring of our partners, review and approval of marketing materials related to the firm. This position requires broad knowledge of regulatory rules governed by FINRA, SEC, NFA.

What you’ll do:

  • Coordinate and work closely with Marketing Partnerships Manager
  • Conduct initial due diligence reviews on third party marketing partner candidates for the firm
  • Review, approve, and record keep marketing materials relevant to the firm for third party marketing partners
  • Monitor business partners’ content and activities related to the firm on a regular basis to ensure consistency with regulatory requirements and applicable firm policies and procedures and maintain good records of such review
  • Help maintain relevant policies and procedures related to marketing partnerships and marketing communications
  • Provide strong compliance support and serve as the main compliance point of contact for the firm’s partnerships
  • Provide support in other relevant areas of Compliance when needed

Who you are:

  • Good understanding of the regulatory environment with respect to 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
  • Strong communication skills and attention to detail
  • Ability to work both independently and collaboratively
  • Able to exhibit the highest standard of integrity and professional ethics
  • Ability to demonstrate good judgement
  • Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
  • At least 2-3 years of work experience in broker-dealer compliance
  • Undergraduate college degree required

Licensure: 

  • Required: Series 7, Series 24, and Series 63 
  • Preferred: Series 4 and Series 3 

Team Perks:

  • 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

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 | 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 anyway. You may be just the right candidate for this or other roles!   

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tastytrade, Inc. (“tastytrade”) does not provide investment, tax, or legal advice. tastytrade’s website and brokerage services are not intended for persons of any jurisdiction where tastytrade is not authorized to do business or where such products and other services offered by the tastytrade would be contrary to the securities regulations, futures regulations or other local laws and regulations of that jurisdiction. Options involve risk and are not suitable for all investors as the special risks inherent to options trading may expose investors to potentially significant losses. Please read Characteristics and Risks of Standardized Options before deciding to invest in options.

Futures accounts are not protected by the Securities Investor Protection Corporation (SIPC). All customer futures accounts’ positions and cash balances are segregated by Apex Clearing Corporation. Futures and futures options trading is speculative and is not suitable for all investors. Please read the Futures & Exchange-Traded Options Risk Disclosure Statement prior to trading futures products.

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tastytrade, Inc. was formerly known as tastyworks, Inc.