Compliance Officer
Active online brokerage and trading platform for self-directed investors, offering stocks, options, futures, crypto and related financial products.
About tastytrade
tastytrade, Inc. is a Chicago-based financial-services company and online broker for self-directed traders. Its platform provides web, desktop and mobile trading, market-analysis tools, educational content and an Open API. tastytrade, Inc. was formerly known as tastyworks, Inc.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will support the compliance program for retail forex operations by monitoring CFTC and NFA requirements advising business partners maintaining registrations coordinating regulatory inquiries reviewing communications delivering training and overseeing AML KYC customer-risk and complaint processes. You will also monitor suspicious activity and prepare SAR filings with the AML Officer and CCO.
Requirements
- Bachelor's degree in Finance Business Law or a related field
- 5+ years of compliance experience in retail forex futures derivatives or securities
- Working knowledge of CFTC Regulations and NFA rules for RFEDs FCMs and Forex Dealer Members
- Strong understanding of AML and BSA requirements in financial services
- Excellent written and verbal communication skills
- Ability to work cross-functionally with trading desk operations IT and legal teams
- Experience at an NFA-regulated FCM or RFED or a regulatory agency
Responsibilities
- Monitor compliance with CFTC Regulations and NFA rules
- Advise business partners on existing and new products and services
- Maintain firm registration and track AP licensing requirements
- Coordinate responses to NFA and CFTC inquiries audits and examinations
- Review marketing materials and customer communications
- Deliver training on compliance requirements and internal protocols
- Supervise customer due diligence and AML KYC processes
- Monitor suspicious activity and prepare SAR filings
- Monitor customer complaint handling
Benefits
- Performance bonuses
- Stock purchase options
- Medical vision and dental benefits
- 401k plan
- 20 paid vacation days plus an additional paid vacation day during the birthday month
- 10 paid sick days
- Gym membership reimbursement
- Commuter benefits
- Pet insurance
- Wellness and 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 and from Metra
- Discretionary performance bonus of 8-12% of base salary