Marketing Compliance Associate at Tastylive

Chicago, Illinois, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, BrokerageIndustries

Requirements

Active Series 7, Series 24, and Series 63 licenses (must be active)
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
Series 4 and Series 3 required post-hire (preferred at application)

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
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

Skills

Key technologies and capabilities for this role

Series 7Series 24Series 63FINRA Rule 2210NFA Rule 2-29FINRASECNFACFTCMarketing ComplianceRegulatory ComplianceBroker-Dealer Communications

Questions & Answers

Common questions about this position

What is the work arrangement for this role?

The position is hybrid, requiring 3 days per week in the office in Chicago, IL.

What licenses are required for this position?

Active Series 7, Series 24, and Series 63 licenses are required. Series 3 and Series 4 are preferred and required post-hire.

What benefits does tastytrade offer?

Benefits include performance bonuses, stock purchase options, 401k plan, medical/dental/vision benefits, 20 paid vacation days plus a birthday vacation day, 10 paid sick days, gym membership reimbursement, and commuter benefits.

What experience and skills are needed for this role?

Candidates need at least 2-3 years of work experience in the broker-dealer industry, an undergraduate degree, compliance experience (strongly preferred), extensive understanding of FINRA and NFA rules like Rule 2210 and 2-29, knowledge of asset classes including equities, options, futures, and cryptocurrency, effective communication, attention to detail, and good judgment.

What makes a strong candidate for the Marketing Compliance Associate role?

A strong candidate will have active Series 7, 24, and 63 licenses, 2-3 years of broker-dealer experience, compliance background, deep knowledge of FINRA/NFA rules and asset classes, and skills like attention to detail, communication, and integrity.

Tastylive

Financial network for options and futures trading

About Tastylive

tastylive offers a financial network for options and futures trading, featuring live market talk and informative shows hosted by industry experts. The platform utilizes dxFeed Technology to deliver engaging and actionable segments and resources for traders, in partnership with Cboe and CME Group.

19 N Sangamon St, Chicago, IL 60607, USAHeadquarters

2011Year Founded

$1,047MTotal Funding

SERIES_CCompany Stage

Data & Analytics, AI & Machine Learning, Financial ServicesIndustries

51-200Employees