Tastyworks
Company Name:
tastytrade Role:
Marketing Compliance Associate Location:
Chicago, IL – Hybrid (3 days/week in office) Required Licenses:
Series 7, Series 24, 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)
Performance Bonuses
Stock Purchase Options
401k Plan
20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
10 Paid Sick Days
Pet Insurance
Wellness & Mental Health Programs
Charitable Donation Matching
Daily catered lunch when in the office
Full kitchen with snacks and beverages
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
Discretionary performance bonus: 5-10% of base salary based on individual and company performance
About Us: The tastyhouse 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.
As set forth in tastytrade’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.
#J-18808-Ljbffr
tastytrade Role:
Marketing Compliance Associate Location:
Chicago, IL – Hybrid (3 days/week in office) Required Licenses:
Series 7, Series 24, 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)
Performance Bonuses
Stock Purchase Options
401k Plan
20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
10 Paid Sick Days
Pet Insurance
Wellness & Mental Health Programs
Charitable Donation Matching
Daily catered lunch when in the office
Full kitchen with snacks and beverages
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
Discretionary performance bonus: 5-10% of base salary based on individual and company performance
About Us: The tastyhouse 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.
As set forth in tastytrade’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.
#J-18808-Ljbffr