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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

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