Compliance Jobs in Web3

Company Name: tastytrade Role: Marketing Compliance Associate Location: Chicago, IL – Hybrid (3 days/week in office) Required: Series 7, Series 24, and 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    Undergraduate college degree required  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) 

Team Perks:     

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      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   About Us:     The tasty house 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.     tastytrade | tastylive  | tastyfx | tastycrypto 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 anyway. You may be just the right candidate for this or other roles!