tastylive, Inc.
Marketing Compliance Associate Chicago, Illinois
tastylive, Inc., Chicago, Illinois, United States, 60290
Overview
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 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, founded in 2011, is an online financial media network; tastytrade (previously 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. and assigned it to lead business in North America. tastylive’s forex arm has grown rapidly, and rebranding to tastyfx aligns with the tasty brand family. The team combines institutional-broker experience with a focus on disrupting the trading industry. Our dream is simple: help more people 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
Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars. Equality and Inclusion
tastylive is an equal opportunity employer. We encourage applicants from all backgrounds and experiences to apply. This role requires in-office attendance 3 days/week in Chicago, IL.
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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 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, founded in 2011, is an online financial media network; tastytrade (previously 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. and assigned it to lead business in North America. tastylive’s forex arm has grown rapidly, and rebranding to tastyfx aligns with the tasty brand family. The team combines institutional-broker experience with a focus on disrupting the trading industry. Our dream is simple: help more people 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
Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars. Equality and Inclusion
tastylive is an equal opportunity employer. We encourage applicants from all backgrounds and experiences to apply. This role requires in-office attendance 3 days/week in Chicago, IL.
#J-18808-Ljbffr