Marketing Compliance Associate

Marketing Compliance Associate

Company Name: tastytrade

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 judgment
• 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)

Company Perks/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
• 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.

Discretionary performance bonus: 5-10% of base salary based on individual and company performance

IG North America is home to tastytrade, tasty live, tastyfx, and tastycrypto—a family of brands built to democratize trading and empower individual investors. Founded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a global fintech leader with 50+ years of experience.

From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible. tastytrade is our retail brokerage for self-directed investing and trading, with tasty live providing content to educate our customers. tastyfx is the fastest-growing forex broker in the US. tastycrypto provides self-custody digital wallets for decentralized finance.

We're a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you're building technology, creating content, serving customers, or supporting operations, you'll work alongside people who are passionate about disrupting traditional finance and genuinely care about helping traders succeed. Our culture rewards initiative, embraces experimentation, and measures success by the value we create for our users.

Location: Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.

tastytrade | tasty live | 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!