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
Strong written and oral communication skills
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

Team Perks:

Performance Bonuses
Stock Purchase Options
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
CTA stop a block away, Shuttle to/from Metra
Office located in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars

About Us:
The tasty house of brands empowers individual traders differently. tastylive, founded in 2011, is an online financial media network, tastytrade (previously known as tastyworks) is a self-directed retail brokerage firm that launched in 2017, tasty Software Solutions and tastyfx, is a registered Forex broker-dealer. In 2021, London-based IG Group acquired tastylive, Inc. (previously known as tastytrade) and assigned it to lead business in North America. tastyfx is the fastest-growing forex broker in the US over the past few years. Changing the IG US name to tastyfx marks the next chapter, in aligning with the tasty brand family and offering a more forex-focused experience. This combined team has years of experience like institutional brokers, but also a passion for disrupting the entire trading industry.   

Our dream is simple: we want more people to find more success with a better trading experience. That’s why we’re investing heavily in the right people, technology, and media to make that happen in the US and across the globe.  

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!  

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