Marketing Compliance Associate

tastytrade•Chicago, IL

13d•$100,000 - $110,000•Hybrid

About The Position

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.

Requirements

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
Undergraduate college degree required

Nice To Haves

Compliance experience strongly preferred
Series 4 and Series 3 ( will be required post-hire )

Responsibilities

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

Benefits

Performance Bonuses
Stock Purchase Options
401k Plan
Medical/Dental/Vision Benefits
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