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

Our Company:

The tastytrade, Inc. family of companies empowers individual traders differently. Founded in 2011 as an online financial media network, tastylive is now affiliated with companies like a brokerage firm (tastytrade in 2017), a research lab (quiet foundation in 2018), and a magazine (luckbox in 2019). In 2021, London-based IG Group acquired tastytrade, Inc. and assigned it to lead business in North America. 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.

The diversity of our offerings and the technology that powers them provide our engineers with exposure to a broad set of tools and the opportunity to dig deep into specific problems. 

Location: We have a great new office in the West Loop of Chicago and are currently working hybrid meaning we’d love to see your face 3 days week or more!
 
tastytrade | tastylive | IG North America
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 anyways. You may be just the right candidate for this or other roles! 

Apply for this Job

* Required

resume chosen  
(File types: pdf, doc, docx, txt, rtf)


Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in tastytrade’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.


Voluntary Self-Identification of Disability

Form CC-305
Page 1 of 1
OMB Control Number 1250-0005
Expires 04/30/2026

Why are you being asked to complete this form?

We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years.

Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to:

  • Alcohol or other substance use disorder (not currently using drugs illegally)
  • Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS
  • Blind or low vision
  • Cancer (past or present)
  • Cardiovascular or heart disease
  • Celiac disease
  • Cerebral palsy
  • Deaf or serious difficulty hearing
  • Diabetes
  • Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders
  • Epilepsy or other seizure disorder
  • Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome
  • Intellectual or developmental disability
  • Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD
  • Missing limbs or partially missing limbs
  • Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports
  • Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS)
  • Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities
  • Partial or complete paralysis (any cause)
  • Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema
  • Short stature (dwarfism)
  • Traumatic brain injury

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.


Enter the verification code sent to to confirm you are not a robot, then submit your application.

This application was flagged as potential bot traffic. To resubmit your application, turn off any VPNs, clear the browser's cache and cookies, or try another browser. If you still can't submit it, contact our support team through the help center.