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Compliance Marketing, Partnerships Associate
3 months ago
Company Name:
tastytrade
As the
Compliance Associate, Partner Relationships
,
you will be responsible for onboarding and management of third-party marketing partners with the firm, tastytrade.
You will report to and work closely with the Director of Marketing Compliance on all matters related to marketing partnership for the firm such as, but not limited to perform due diligence on potential partners, identify potential risks for the firm, regular oversight monitoring of our partners, review and approval of marketing materials related to the firm.
This position requires broad knowledge of regulatory rules governed by FINRA, SEC, NFA.What you'll do:
Coordinate and work closely with Marketing Partnerships Manager
Conduct initial due diligence reviews on third party marketing partner candidates for the firm
Review, approve, and record keep marketing materials relevant to the firm for third party marketing partners
Monitor business partners' content and activities related to the firm on a regular basis to ensure consistency with regulatory requirements and applicable firm policies and procedures and maintain good records of such review
Help maintain relevant policies and procedures related to marketing partnerships and marketing communications
Provide strong compliance support and serve as the main compliance point of contact for the firm's partnerships
Provide support in other relevant areas of Compliance when needed
Who you are:
Good understanding of the regulatory environment with respect to 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
Strong communication skills and attention to detail
Ability to work both independently and collaboratively
Able to exhibit the highest standard of integrity and professional ethics
Ability to demonstrate good judgement
Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
At least 2-3 years of work experience in broker-dealer compliance
Undergraduate college degree required
Licensing:
Required:
Series 7, Series 24, and Series 63
Preferred:
Series 4 and Series 3
Team Perks:
Performance Bonuses
Stock Purchase Options
401k Plan
Continued Education Support
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
CTA stop a block away, Shuttle to/from Metra
Office located in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars
Our Company:
The IG North America family of companies empowers individual traders differently.
tastylive, f ounded 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 IG US, is a registered Forex broker-dealer.
In 2021, London-based IG Group acquired tasty live , Inc.
(previously known as tastytrade)
and assigned it to lead business in North America.
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 witha bettertrading 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:
We have a great new office in the West Loop of Chicago and are currently working hybrid meaning we'd love to see your face 3 days week or more
tastytrade | tasty live | IG North America
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 anyways. You may be just the right candidate for this or other roles
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