tastytrade
Head of Regulatory Affairs
tastytrade, Chicago, Illinois, United States, 60290
Company Name:
tastytrade
As a
Head of Regulatory Affairs , you will be responsible for oversight of the firm's intake and response process of regulatory, legal, and other formal audits, inquiries, and requests for information. This role will report directly to the firm's Chief Compliance Officer. The Head of Regulatory Affairs role is a senior compliance management role that requires a sound understanding of broker-dealer compliance obligations and related rules, and a detail-oriented and analytical skillset that is adaptable for a dynamic environment.
What you'll do:
Serve as a main liaison between the firm and regulatory and other authorities, such as FINRA, SEC, NFA, DOJ
Manage the intake, response, and case management process for regulatory and other formal audits and requests for information
Management oversight of tasks and responsibilities delegated by you to members of the compliance department to achieve complete responses and record productions
Assessment of inquiries from regulatory and law enforcement authorities.
Monitor regulatory response timelines and facilitate timely regulatory and formal record productions
Communicate with regulators, law enforcement, official authorities, and firm stakeholders regarding audit and case statuses
Escalate matters promptly to the Chief Compliance Officer, as appropriate.
Collaborate with internal teams such as trade desk, legal, and business operations
Uphold with the firm's recordkeeping and documentation management practices, ensuring adherence to applicable regulatory requirements
Strong written and oral communication skills
Remain aware and communicate relevant changes in market conduct, regulations, and related industry practices
Who you are:
Active Series 7, 24, & 63 (or 66) licenses; series 3 & 4 licenses are highly desirable
3 years or more of recent experience in retail broker-dealer compliance with a sound working knowledge of relevant broker-dealer regulatory frameworks
Experience with direct management and oversight of regulatory affairs and/or formal audits is advantageous
Outstanding organizational and time management skills
Ability to work independently in a small team environment and manage competing priorities with minimal intervention, direction or instruction
Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties and customers
High degree of comfort with technology and ability to quickly learn new proprietary systems
Team Perks:
Performance Bonuses
Stock Purchase Options
401k Plan
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 tastytrade, Inc. family of companies empowers individual traders differently. Founded in 2011 as an online financial media network, tasty live
is now affiliated with companies like a brokerage firm (tastytrade in 2017), a research lab (quiet foundation in 2018), and a magazine (luckbox in 2019). In 2021, London-based IG Group acquired tastytrade, Inc. 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.
The diversity of our offerings and the technology that powers them provide our engineers with exposure to a broad set of tools and the opportunity to dig deep into specific problems.
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 America1330 W Fulton Market, Chicago, IL 60607
#J-18808-Ljbffr
tastytrade
As a
Head of Regulatory Affairs , you will be responsible for oversight of the firm's intake and response process of regulatory, legal, and other formal audits, inquiries, and requests for information. This role will report directly to the firm's Chief Compliance Officer. The Head of Regulatory Affairs role is a senior compliance management role that requires a sound understanding of broker-dealer compliance obligations and related rules, and a detail-oriented and analytical skillset that is adaptable for a dynamic environment.
What you'll do:
Serve as a main liaison between the firm and regulatory and other authorities, such as FINRA, SEC, NFA, DOJ
Manage the intake, response, and case management process for regulatory and other formal audits and requests for information
Management oversight of tasks and responsibilities delegated by you to members of the compliance department to achieve complete responses and record productions
Assessment of inquiries from regulatory and law enforcement authorities.
Monitor regulatory response timelines and facilitate timely regulatory and formal record productions
Communicate with regulators, law enforcement, official authorities, and firm stakeholders regarding audit and case statuses
Escalate matters promptly to the Chief Compliance Officer, as appropriate.
Collaborate with internal teams such as trade desk, legal, and business operations
Uphold with the firm's recordkeeping and documentation management practices, ensuring adherence to applicable regulatory requirements
Strong written and oral communication skills
Remain aware and communicate relevant changes in market conduct, regulations, and related industry practices
Who you are:
Active Series 7, 24, & 63 (or 66) licenses; series 3 & 4 licenses are highly desirable
3 years or more of recent experience in retail broker-dealer compliance with a sound working knowledge of relevant broker-dealer regulatory frameworks
Experience with direct management and oversight of regulatory affairs and/or formal audits is advantageous
Outstanding organizational and time management skills
Ability to work independently in a small team environment and manage competing priorities with minimal intervention, direction or instruction
Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties and customers
High degree of comfort with technology and ability to quickly learn new proprietary systems
Team Perks:
Performance Bonuses
Stock Purchase Options
401k Plan
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 tastytrade, Inc. family of companies empowers individual traders differently. Founded in 2011 as an online financial media network, tasty live
is now affiliated with companies like a brokerage firm (tastytrade in 2017), a research lab (quiet foundation in 2018), and a magazine (luckbox in 2019). In 2021, London-based IG Group acquired tastytrade, Inc. 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.
The diversity of our offerings and the technology that powers them provide our engineers with exposure to a broad set of tools and the opportunity to dig deep into specific problems.
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 America1330 W Fulton Market, Chicago, IL 60607
#J-18808-Ljbffr