Compliance Officer

tastytrade•Chicago, IL

4d•Hybrid

About The Position

The Compliance Officer will support the firm’s compliance program, ensuring adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations. This 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, focusing on giving customers 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, tastyfx is 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 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
Discretionary Performance Bonus: 8-12% of base salary based on individual and company performance.