Tastytrade·25 days ago
25 days ago
Compliance Officer
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About this role
Department: Compliance
Reports To: Chief Compliance Officer for tastyfx/tastytrade futures
Location: Chicago, IL (In-office 3 days/week)
Salary: $100,000-$140,000
Licensure: Series 3 and Series 34 strongly preferred.
As a Compliance Officer, you will support the firm’s compliance program, ensuring adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations. The role is critical to maintaining the firm’s regulatory standing and reports directly to the Chief Compliance Officer.
tastyfx is a retail brokerage that provides professional-grade, world-class technology to retail traders at industry-leading prices. We focus on giving customer access to global currencies via the spot forex market. Built from the ground up by a team with decades of experience in the financial industry, we’re a modern brokerage for the current financial climate.
What You’ll Do:
- Monitor and ensure ongoing compliance with CFTC Regulations and NFA Compliance Rules.
- Provide advice and guidance to the business partners on existing products and services as well as new products.
- Maintain firm registration; track AP licensing requirements.
- Assist the CCO with responding to NFA and CFTC inquiries, audits and examinations; coordinate documentation requests.
- Review marketing materials and customer communications for compliance with NFA Marketing Compliance Rules.
- Deliver training on compliance requirements, including emerging regulations, internal protocols, and best practices.
- Supervise customer due diligence processes to ensure adherence to AML and KYC requirements, optimizing the customer experience while managing the firm's customer risk.
- Monitor suspicious activity and prepare SAR filings as needed in coordination with the AML Officer/CCO.
- Monitor customer complaint handling.
Who You Are:
- Bachelors degree in Finance, Business, Law, or related field
- 5+ years of compliance experience in the retail forex, futures, or broader derivatives/securities industry
- Working knowledge of CFTC Regulations and NFA rules applicable to RFEDs, FCMs and Forex Dealer Members.
- Strong understanding of AML/BSA requirements as applied to financial services.
- Excellent written and verbal communication for regulatory correspondence and internal policy drafting.
- Ability to work cross-functionally with trading desk, operations, IT and legal teams.
- Prior experience at an NFA-regulated FCM or RFED, or regulatory agency
Company Perks + Benefits:
- Performance Bonuses
- Stock Purchase Options
- Medical/Vision/Dental Benefits
- 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
- Shuttle to/from Metra
Discretionary Performance Bonus: 8-12% of base salary based on individual and company performance.
About IGNA + tasty
IG North America is home to tastytrade, tastylive, and tastyfx—a family of brands built to democratize trading and empower individual investors. Founded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof.
IG North America is home to tastytrade, tastylive, and tastyfx—a family of brands built to democratize trading and empower individual investors. Founded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof.
From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible. tastytrade is our retail brokerage for self-directed investing and trading, with tastylive providing content to educate our customers. tastyfx is the fastest-growing forex broker in the US.
We're a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you're building technology, creating content, serving customers, or supporting operations, you'll work 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. The bar is high – bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG|tasty – the future gets built here.
Location: Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.
tastytrade | tastylive | tastyfx
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!
Company
Tastytrade
Chicago, United States of America
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