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
)

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

About IG

NA + tasty

IG North America is home totastytrade,tasty

live
,tastyfx, andtastycrypto—a family of brands built to democratize trading and empower individual investors.Founded in Chicago bythe creators ofthinkorswim,acquiredby 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, produceslive financial educationcontentdaily, and creates technology that makes complex markets accessible.tastytradeisour retail brokerage forself-directed investing and trading,withtasty

live
providingcontent to educate our customers.tastyfxis the fastest-growing forex broker in the US.tastycryptoprovides self-custody digital wallets for decentralized finance.

We'rea lean, collaborative team that values autonomy, pragmatism, and impact. Whetheryou'rebuilding technology, creating content, serving customers, or supporting operations,you'llwork 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! 

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