tastylive, Inc.
Marketing Compliance Associate Chicago, Illinois
tastylive, Inc., Chicago, Illinois, United States, 60290
Company Name:
tastytrade Role:
Marketing Compliance Associate Location:
Chicago, IL – Hybrid (3 days/week in office) Required:
Series 7, Series 24, and Series 63 ( Series 3 & 4 required post-hire )
As the Marketing Compliance Associate, the main responsibility of the position is to review and approve the firm’s retail communications with the public for marketing and advertising initiatives. You will coordinate directly with the Director of Marketing Compliance on the review of advertising communications and marketing materials to ensure compliance with applicable regulatory rules governed by FINRA, SEC, NFA, and CFTC.
What You’ll Do
Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
Help maintain relevant policies and procedures related to marketing and advertising communications
Maintain the firm’s comprehensive record inventory and ensure compliance with firm procedures to evidence reviews, approvals, intended first use and last use dates
Incorporate relevant changes to regulatory rules applicable to the firm’s business into the firm’s procedures and ensure new marketing materials are approved accordingly
Provide other compliance support when needed
Help provide training and guidance on key policies and procedures related to the firm’s marketing compliance program
Who You Are
Active Series 7, 24 and 63 licenses are required to be considered for this role.
Extensive understanding of the regulatory environment regarding FINRA and NFA rules governing broker‑dealer communications, including FINRA Rule 2210 and NFA Rule 2-29
Understanding of various asset classes, and applicable regulatory requirements and guidance, including equities, options, futures, and cryptocurrency
Effective communication skills and attention to detail
Ability to work both independently and collaboratively
Ability to demonstrate good judgementAble to exhibit the highest standard of integrity and professional ethics
Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
At least 2‑3 years of work experience in the broker‑dealer industry
Compliance experience strongly preferred
Licensing
Required:
Series 7, Series 24, and Series 63 (must be active)
Preferred:
Series 4 and Series 3 (will be required post‑hire)
Company Perks/Benefits
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
Pet Insurance
Wellness & Mental Health Programs
Charitable Donation Matching
Daily catered lunch when in the officeFull kitchen with snacks and beverages
Shuttle to/from Metra
Office located in the West Loop – Chicago’s growing center of tech, great cuisine, and high‑end bars
Salary Range $100,000 – $110,000 The actual salary offered will be based on the candidate's level of experience and qualifications
Discretionary performance bonus 5‑10% of base salary based on individual and company performance
About IG NA + tasty IG North America is home to tastytrade, tastylive, tastyfx, and tastycrypto—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 global fintech leader with 50+ years of experience.
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. tastycrypto provides self‑custody digital wallets for decentralized finance.
We’re a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you’re rebuilding 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.
Location Our office is in the West Loop – Chicago’s growing center of tech, great cuisine, and high‑end bars.
As set forth in tastylive’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.
#J-18808-Ljbffr
tastytrade Role:
Marketing Compliance Associate Location:
Chicago, IL – Hybrid (3 days/week in office) Required:
Series 7, Series 24, and Series 63 ( Series 3 & 4 required post-hire )
As the Marketing Compliance Associate, the main responsibility of the position is to review and approve the firm’s retail communications with the public for marketing and advertising initiatives. You will coordinate directly with the Director of Marketing Compliance on the review of advertising communications and marketing materials to ensure compliance with applicable regulatory rules governed by FINRA, SEC, NFA, and CFTC.
What You’ll Do
Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
Help maintain relevant policies and procedures related to marketing and advertising communications
Maintain the firm’s comprehensive record inventory and ensure compliance with firm procedures to evidence reviews, approvals, intended first use and last use dates
Incorporate relevant changes to regulatory rules applicable to the firm’s business into the firm’s procedures and ensure new marketing materials are approved accordingly
Provide other compliance support when needed
Help provide training and guidance on key policies and procedures related to the firm’s marketing compliance program
Who You Are
Active Series 7, 24 and 63 licenses are required to be considered for this role.
Extensive understanding of the regulatory environment regarding FINRA and NFA rules governing broker‑dealer communications, including FINRA Rule 2210 and NFA Rule 2-29
Understanding of various asset classes, and applicable regulatory requirements and guidance, including equities, options, futures, and cryptocurrency
Effective communication skills and attention to detail
Ability to work both independently and collaboratively
Ability to demonstrate good judgementAble to exhibit the highest standard of integrity and professional ethics
Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
At least 2‑3 years of work experience in the broker‑dealer industry
Compliance experience strongly preferred
Licensing
Required:
Series 7, Series 24, and Series 63 (must be active)
Preferred:
Series 4 and Series 3 (will be required post‑hire)
Company Perks/Benefits
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
Pet Insurance
Wellness & Mental Health Programs
Charitable Donation Matching
Daily catered lunch when in the officeFull kitchen with snacks and beverages
Shuttle to/from Metra
Office located in the West Loop – Chicago’s growing center of tech, great cuisine, and high‑end bars
Salary Range $100,000 – $110,000 The actual salary offered will be based on the candidate's level of experience and qualifications
Discretionary performance bonus 5‑10% of base salary based on individual and company performance
About IG NA + tasty IG North America is home to tastytrade, tastylive, tastyfx, and tastycrypto—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 global fintech leader with 50+ years of experience.
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. tastycrypto provides self‑custody digital wallets for decentralized finance.
We’re a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you’re rebuilding 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.
Location Our office is in the West Loop – Chicago’s growing center of tech, great cuisine, and high‑end bars.
As set forth in tastylive’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.
#J-18808-Ljbffr