Job details
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Head of Regulatory Affairs
tastytrade is looking for a Head of Regulatory Affairs to manage compliance and regulatory interactions. The role requires a senior-level candidate with broker-dealer compliance experience.
Skills
- Broker-dealer compliance knowledge
- Regulatory affairs management
- Organizational skills
- Communication skills
- Technology aptitude
Responsibilities
- Manage regulatory and formal audits and inquiries
- Serve as a liaison between the firm and regulatory authorities
- Oversee compliance department tasks
- Communicate with internal teams and stakeholders
- Monitor regulatory response timelines
Education
- Active Series 7, 24, & 63 (or 66) licenses
- 3 years of compliance experience
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
- Two Paid Volunteer Days Off
To read the complete job description, please click on the ‘Apply’ button
tastytrade Glassdoor Company Review
Scott Sheridan
4.8
tastytrade DE&I Review
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CEO of tastytrade
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By
tastytrade
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
$100,000/yr - $150,000/yr
EMPLOYMENT TYPE
Full-time, on-site
DATE POSTED
November 10, 2024
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