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, FinTech, Broker-DealerIndustries

Requirements

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

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

Series 7

Series 24

Series 63

FINRA Rule 2210

NFA Rule 2-29

Marketing Compliance

Regulatory Review

Equities

Options

Futures

Cryptocurrency

SEC Regulations

CFTC Regulations

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