Full-Time

Associate Compliance Officer

Posted on 11/1/2024

Tastylive

Tastylive

51-200 employees

Financial network for options and futures trading

Data & Analytics
AI & Machine Learning
Financial Services

Entry, Junior

Chicago, IL, USA

Office located in the West Loop, Chicago.

Category
Risk & Compliance
Legal & Compliance
Requirements
  • Active Series 7 & 63 (or 66) licenses; series 3, 4, and 24 licenses are desirable
  • Sound working knowledge of relevant broker-dealer regulatory frameworks
  • 2 years or more of experience in broker-dealer compliance
  • Diligent, disciplined, and motivated work ethic
  • Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties and customers
  • Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization
Responsibilities
  • Conduct thorough compliance oversight to enforce firm procedures
  • Assist and/or directly manage record productions for various regulatory audits, investigations, and inquiries
  • 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
  • Implement approved enhancement changes
  • Remain aware and communicate relevant changes in market conduct, regulations, and related industry practices

tastylive offers a financial network for options and futures trading, featuring live market talk and informative shows hosted by industry experts. The platform utilizes dxFeed Technology to deliver engaging and actionable segments and resources for traders, in partnership with Cboe and CME Group.

Company Stage

Series C

Total Funding

$1B

Headquarters

Chicago, Illinois

Founded

2011

Growth & Insights
Headcount

6 month growth

-18%

1 year growth

-3%

2 year growth

-18%
INACTIVE