Compliance Officer
About The Position
As a Compliance Officer, you will support the firm’s compliance program, ensuring adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations. The role is critical to maintaining the firm’s regulatory standing and reports directly to the Chief Compliance Officer. tastyfx is a retail brokerage that provides professional-grade, world-class technology to retail traders at industry-leading prices. We focus on giving customer access to global currencies via the spot forex market. Built from the ground up by a team with decades of experience in the financial industry, we’re a modern brokerage for the current financial climate.
Requirements
- Bachelors degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in the retail forex, futures, or broader derivatives/securities industry
- Working knowledge of CFTC Regulations and NFA rules applicable to RFEDs, FCMs and Forex Dealer Members.
- Strong understanding of AML/BSA requirements as applied to financial services.
- Excellent written and verbal communication for regulatory correspondence and internal policy drafting.
- Ability to work cross-functionally with trading desk, operations, IT and legal teams.
- Prior experience at an NFA-regulated FCM or RFED, or regulatory agency
Nice To Haves
- Series 3 and Series 34 strongly preferred
Responsibilities
- Monitor and ensure ongoing compliance with CFTC Regulations and NFA Compliance Rules.
- Provide advice and guidance to the business partners on existing products and services as well as new products.
- Maintain firm registration; track AP licensing requirements.
- Assist the CCO with responding to NFA and CFTC inquiries, audits and examinations; coordinate documentation requests.
- Review marketing materials and customer communications for compliance with NFA Marketing Compliance Rules.
- Deliver training on compliance requirements, including emerging regulations, internal protocols, and best practices.
- Supervise customer due diligence processes to ensure adherence to AML and KYC requirements, optimizing the customer experience while managing the firm's customer risk.
- Monitor suspicious activity and prepare SAR filings as needed in coordination with the AML Officer/CCO.
- Monitor customer complaint handling.
Benefits
- Performance Bonuses
- Stock Purchase Options
- Medical/Vision/Dental Benefits
- 401k Plan
- 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
- Shuttle to/from Metra
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
