tastylive, Inc.
Marketing Compliance Associate Chicago, Illinois
tastylive, Inc., Chicago, Illinois, United States, 60290
Overview
Company Name:
tastytrade
Check you match the skill requirements for this role, as well as associated experience, then apply with your CV below. 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
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)
Salary 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 tastyhouse of brands empowers individual traders differently. Tastylive was founded in 2011 as an online financial media network. Tastylive, formerly tastyworks, is a self-directed retail brokerage firm launched in 2017. Tast y Software Solutions and tastyfx are registered broker-dealer entities. In 2021, London-based IG Group acquired Tastylive, Inc. and aligned it to lead business in North America. Tast yfx is the fastest-growing forex broker in the US over the past few years. This combined team has years of experience like institutional brokers, with a focus on disrupting the trading industry.
Our dream is simple: we want more people to find more success with a better trading experience. We’re investing in the right people, technology, and media to make that happen in the US and globally.
Location Office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.
Note:
Don’t meet every single requirement? We encourage you to apply anyway. We are committed to building a diverse, inclusive, and authentic workplace.
Equal Opportunity Our Equal Employment Opportunity policy states we do not discriminate on the basis of protected status. We invite voluntary self-identification for government reporting purposes. Information provided is confidential and will not be used in hiring decisions.
How to apply:
Apply for this job and follow the prompts to submit your information.
#J-18808-Ljbffr
Company Name:
tastytrade
Check you match the skill requirements for this role, as well as associated experience, then apply with your CV below. 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
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)
Salary 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 tastyhouse of brands empowers individual traders differently. Tastylive was founded in 2011 as an online financial media network. Tastylive, formerly tastyworks, is a self-directed retail brokerage firm launched in 2017. Tast y Software Solutions and tastyfx are registered broker-dealer entities. In 2021, London-based IG Group acquired Tastylive, Inc. and aligned it to lead business in North America. Tast yfx is the fastest-growing forex broker in the US over the past few years. This combined team has years of experience like institutional brokers, with a focus on disrupting the trading industry.
Our dream is simple: we want more people to find more success with a better trading experience. We’re investing in the right people, technology, and media to make that happen in the US and globally.
Location Office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.
Note:
Don’t meet every single requirement? We encourage you to apply anyway. We are committed to building a diverse, inclusive, and authentic workplace.
Equal Opportunity Our Equal Employment Opportunity policy states we do not discriminate on the basis of protected status. We invite voluntary self-identification for government reporting purposes. Information provided is confidential and will not be used in hiring decisions.
How to apply:
Apply for this job and follow the prompts to submit your information.
#J-18808-Ljbffr