Compliance Associate, Partner Relationships

| Chicago, IL, USA
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Company Name: tastytrade

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

Licensing: 

  • 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

Our Company:

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! 

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Technology we use

  • Engineering
    • C++Languages
    • JavaLanguages
    • JavascriptLanguages
    • PythonLanguages
    • RubyLanguages
    • SqlLanguages
    • SwiftLanguages
    • Objective-CLanguages
    • ReactLibraries
    • Ember.jsFrameworks
    • KubernetesFrameworks
    • Ruby on RailsFrameworks
    • TerraformFrameworks
    • React NativeFrameworks
    • AkkaFrameworks
    • PostgreSQLDatabases
    • RedisDatabases
    • CouchbaseDatabases
    • DynamoDBDatabases
    • GitHubServices

An Insider's view of IGNA - tasty

What’s the vibe like in the office?

We’re in a fast-paced industry, but no matter how busy people get, no one’s ever too busy to help a colleague out. We’re surrounded by smart, driven people and the collaboration amongst the teams is the reason why we are constantly growing. Plus, there’s free food and puppies to get you through the day!

Mo

Project Manager

How does the company support your career growth?

Because we're on a relatively small team, I feel I'm able to make more of an impact. I often see features I've worked on reflected on the platform in real time: Something that's incredibly satisfying. And best of all, I get to learn from ridiculously talented senior engineers who have become not only mentors, but also close friends.

Div

Senior Software Developer

What are IGNA - tasty Perks + Benefits

Culture
Volunteer in local community
This year, our employees Vonetta and Tracy helped raise money for Chicago Reads, a program to send every child home with a book to read this summer!
Partners with nonprofits
Open door policy
Open office floor plan
Employee resource groups
Employee-led culture committees
Day off for your birthday
Hybrid work model
Employee awards
Flexible work schedule
Diversity
Dedicated diversity and inclusion staff
Mandated unconscious bias training
Diversity employee resource groups
Hiring practices that promote diversity
Diversity recruitment program
Health Insurance + Wellness
Flexible Spending Account (FSA)
Disability insurance
Dental insurance
Vision insurance
Health insurance
Life insurance
Pet insurance
Wellness programs
Our employee assistance program provides support on stress management, dependent/elder care, fitness, and legal and financial issues.
Team workouts
Mental health benefits
Our employee assistance program provides employees and their families with counseling services (general, bereavement, tobacco cessation).
Financial & Retirement
401(K)
401(K) matching
Employee stock purchase plan
Performance bonus
Charitable contribution matching
Child Care & Parental Leave
Generous parental leave
Family medical leave
Return-to-work program post parental leave
Vacation + Time Off
Generous PTO
Paid volunteer time
Sabbatical
Paid holidays
Paid sick days
Office Perks
Commuter benefits
tastytrade offers pre-tax commuter benefits for all employees (both public transport and rideshare).
Company-sponsored outings
Free daily meals
Free lunch in-office!
Free snacks and drinks
Company-sponsored happy hours
Recreational clubs
Fitness stipend
Onsite gym
Professional Development
Job training & conferences
Promote from within
Mentorship program
Our engineering team hosts a mentorship program for younger or newer additions to the team.
Continuing education stipend
Continuing education available during work hours
Online course subscriptions available

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