Head of Regulatory Affairs

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
• 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

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 | tastylive| IG North America
1330 W Fulton Market, Chicago, IL 60607

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