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Compliance Officer

Tastylive
Location
Chicago, IL
Posted
24 days ago
Department
tt - Compliance
Salary
$100,000-$140,000
What they actually want (must-haves)
  • Bachelors degree in Finance, Business, Law, or related field
  • 5+ years of compliance experience in the retail forex, futures, or broader derivatives/securities industry
  • Working knowledge of CFTC Regulations and NFA rules applicable to RFEDs, FCMs and Forex Dealer Members
  • Strong understanding of AML/BSA requirements as applied to financial services
  • Excellent written and verbal communication for regulatory correspondence and internal policy drafting
  • Ability to work cross-functionally with trading desk, operations, IT and legal teams
Nice to have
  • Prior experience at an NFA-regulated FCM or RFED, or regulatory agency
  • Licensure: Series 3 and Series 34 strongly preferred
What the job really is

As a Compliance Officer, you will support the compliance program by ensuring adherence to CFTC Regulations and NFA rules, providing guidance on products, and maintaining firm registration. You will also assist with regulatory inquiries, review marketing materials, deliver training on compliance requirements, and supervise customer due diligence processes. The role is vital for maintaining the firm's regulatory standing and involves collaboration with various teams.

Benefits
  • Performance Bonuses
  • Stock Purchase Options
  • Medical/Vision/Dental Benefits
  • 401k Plan
  • 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
  • 10 Paid Sick Days
Things to weigh
  • In-office requirement of 3 days a week
  • Salary range is provided but may not reflect all levels of experience
  • The role involves significant regulatory responsibilities which may be stressful
  • The company emphasizes a high-performance culture which may imply a demanding work environment
Job score4.4/5
Benefits5/5
Freshness4/5
Career value4/5
Role clarity4/5
Pay transparency5/5

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