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Associate Compliance Officer
tastytrade is looking for an Associate Compliance Officer with a strong understanding of broker-dealer compliance. You will assist with regulatory audits and enforce firm compliance procedures in a dynamic environment.
Skills
- Broker-dealer compliance knowledge
- Regulatory frameworks understanding
- Strong communication skills
- Analytical skills
- Detail-oriented
Responsibilities
- Conduct compliance oversight
- Assist with regulatory audits
- Manage record productions for investigations
- Collaborate with internal teams
- Implement enhancements to compliance practices
Education
- Active Series 7 & 63 (or 66) licenses
- Series 3, 4, and 24 licenses are a plus
Benefits
- Performance Bonuses
- Stock Purchase Options
- 401k Plan
- 20 Paid Vacation Days
- 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
- Office located in the West Loop
To read the complete job description, please click on the ‘Apply’ button
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Helping traders succeed through sophisticated technology, favorable pricing and exceptional customer service.
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FUNDING
DEPARTMENTS
SENIORITY LEVEL REQUIREMENT
INDUSTRY
TEAM SIZE
LOCATION
SALARY RANGE
$60,000/yr - $80,000/yr
EMPLOYMENT TYPE
Full-time, hybrid
DATE POSTED
November 3, 2024
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