Tastylive

Real-time trading insights and education platform

Account Specialist 1

Customer SupportConfirmed live in the last 24 hours

Full-timeChicago, IL, USA

About the Job

Requirements

FINRA SIE, Series 7, and Series 63 licenses are required.
A bachelor's degree or related work experience is required.
Experience or a strong interest in the financial industry is required.
Prior account-processing experience is not required.
Candidates should have a basic understanding of account types, including individual, joint, IRA, and entity accounts, or be willing to learn quickly.
Candidates should be willing to develop expertise in Anti-Money Laundering (AML) and Know Your Customer (KYC) compliance and brokerage account operations.
Candidates should be detail-oriented and willing to learn and uphold applicable regulatory requirements.
Candidates should have strong interpersonal skills and be able to identify appropriate solutions in customer interactions.
Candidates should be willing to collaborate with teammates to address time-sensitive issues.
Candidates should communicate clearly and professionally in writing and verbally with customers and internal colleagues.
Candidates should demonstrate patience and empathy when guiding customers through documentation requirements.
Candidates should be extremely proficient with technology.
Candidates should be able to multitask in a fast-paced environment and manage multiple applications and processing tasks simultaneously.
Candidates should be self-motivated, work independently, and know when to escalate matters to senior team members.

Responsibilities

Process new account applications for individual, joint, IRA, and basic entity accounts, ensuring accuracy and completeness.
Review customer-submitted documentation for identity verification and compliance with Customer Identification Program (CIP) requirements.
Verify application information against submitted documents and flag discrepancies for further review.
Guide customers through the account-opening process, explain required documentation and application steps, and troubleshoot issues.
Process straightforward account-maintenance requests, including address changes, phone updates, and beneficiary designations.
Prepare applications for review by an accounts approver.
Perform ongoing customer due diligence in accordance with Anti-Money Laundering (AML) regulations.
Assist with routine monitoring, documentation, and reporting requirements.
Identify and escalate potentially suspicious account activity or documentation irregularities to senior team members.
Maintain accurate records of customer due diligence efforts for audit and regulatory purposes.
Support basic suitability reviews by verifying customer-provided financial and suitability information.
Provide accurate support via chat, email, and phone as needed regarding account-opening and maintenance questions.
Respond to customer inquiries about application status, required documentation, and processing timelines.
Guide customers through resolving application holds or documentation issues with clear, step-by-step instructions.
Collaborate with teammates to address time-sensitive account issues and escalate complex matters appropriately.
Document customer interactions accurately in Salesforce.
Provide input and recommendations for improving current policies, procedures, and technologies.
Participate in team training sessions to build knowledge of account types, regulatory requirements, and processing procedures.
Shadow Account Specialist IIs to learn approver-level judgment and complex account handling.
Develop foundational knowledge of entity account structures, trust documentation, and margin agreements in preparation for advancement.
Build proficiency in straightforward account processing as a foundation for approver-level responsibilities.
Develop understanding of KYC/AML requirements, suitability standards, and regulatory compliance.
Demonstrate consistent accuracy and sound judgment in processing decisions as a pathway to approver authority.
Pursue internal Accounts Approval qualifications with support from the Team Lead and Account Specialist IIs.
Pass the Series 24 and Series 4 exams.

Desired Qualifications

Prior customer service experience is preferred, particularly in a financial-services or brokerage environment.

Company Name: tastytrade
Role: Account Specialist I
Location: Chicago, IL – In-Person (3/days week)
Reports to: Accounts Team Lead
Licensure Required: FINRA SIE, Series 7, and Series 63

As an Account Specialist I with tastytrade, you will provide seamless account opening experiences, superior customer support, and attentive account maintenance for our customers. This is the foundational role within the Accounts career path, designed to build your expertise in account processing, regulatory compliance, and customer service before advancing to Account Specialist II. You will process new account applications, perform account maintenance, and support customer due diligence efforts while developing the judgment and technical knowledge required for approver-level responsibilities. This role is ideal for detail-oriented individuals early in their brokerage operations career who want to build a foundation in account services with a clear path toward Account Specialist II, and beyond.

What you'll do

Account Opening & Application Processing

Process new account applications for individual, joint, IRA, and basic entity accounts, ensuring accuracy and completeness
Review customer-submitted documentation for identity verification, ensuring compliance with Customer Identification Program (CIP) requirements
Verify application information against submitted documents, flagging discrepancies for further review
Guide and help troubleshoot customers through the account opening process, explaining required documentation and application steps
Process straightforward account maintenance requests including address changes, phone updates, and beneficiary designations
Assist with preparing applications so they are ready for an accounts approver

Customer Due Diligence & Compliance Support

Perform ongoing customer due diligence in accordance with Anti-Money Laundering (AML) regulations
Assist with routine monitoring, documentation, and reporting requirements
Identify and escalate potentially suspicious account activity or documentation irregularities to senior team members
Maintain accurate records of customer due diligence efforts for audit and regulatory purposes
Support basic suitability reviews, verifying customer-provided financial and suitability information

Customer Service & Support

Provide friendly, accurate, and efficient support via chat, email, and phone (as needed) regarding account opening and maintenance questions
Respond to customer inquiries about application status, required documentation, and processing timelines
Guide customers through resolving application holds or documentation issues with clear, step-by-step instructions
Collaborate with teammates to address time-sensitive account issues and escalate complex matters appropriately
Document all customer interactions thoroughly and accurately in Salesforce

Process Improvement & Development

Provide input and recommendations for improvement regarding current policies, procedures, and technologies
Participate in team training sessions to build knowledge of account types, regulatory requirements, and processing procedures
Shadow Account Specialist IIs to learn approver-level judgment and complex account handling
Develop foundational knowledge of entity account structures, trust documentation, and margin agreements in preparation for advancement
Contribute to a positive and collaborative team environment

Career Development Toward Account Specialist II

Build proficiency in straightforward account processing as a foundation for approver-level responsibilities
Develop understanding of KYC/AML requirements, suitability standards, and regulatory compliance
Demonstrate consistent accuracy and sound judgment in processing decisions as a pathway to approver authority
Pursue internal domain role qualifications (Accounts Approval) with support from Team Lead and Account Specialist IIs
Pass Series 24 and 4 exams

Who you are

Experience & Credentials

FINRA SIE, Series 7, and Series 63
Bachelor's degree or related work experience
Experience or avid interest in the financial industry
Prior customer service experience preferred, particularly in a financial services or brokerage environment
No prior account processing experience required—this role is designed to build foundational expertise

Knowledge & Skills

Detail-oriented mindset with a willingness to learn and uphold applicable regulatory requirements
Basic understanding of account types (individual, joint, IRA, entities) or willingness to learn quickly
Genuine interest in developing expertise in AML/KYC compliance and brokerage account operations
Aspiration to advance to Account Specialist II and pursue approver-level responsibilities

Communication & Interpersonal Skills

Strong interpersonal skills, effective in customer interactions, and ability to identify appropriate solutions
Willingness to collaborate with teammates to address time-sensitive issues
Clear, professional written and verbal communication for customer support and internal collaboration
Patience and empathy when guiding customers through documentation requirements

Operational Skills

Extremely proficient with use of technology
Ability to multi-task in a fast-paced environment
Strong organizational skills with ability to manage multiple applications and processing tasks simultaneously
Self-motivated with ability to work independently while knowing when to escalate to senior team members

Company Perks + 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
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
Shuttle to/from Metra

Discretionary Performance Bonus: 5-10% of base salary based on individual and company performance.

Salary Range: $50,000-$75,000

About IGNA + tasty
IG North America is home to tastytrade, tastylive, and tastyfx—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 FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof.

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.

We're a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you're building 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. The bar is high – bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG|tasty – the future gets built here.

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!

About the Company

Tastylive

Real-time trading insights and education platform

Tastylive provides real-time financial streaming and education for options, stocks, and futures. It streams live broadcasts—over 100 original segments with more than 20 on-air traders—seven days a week to share market insights and actionable trade ideas. The platform blends entertainment with practical training, offering diverse viewpoints from a large team of traders. Its goal is to help traders navigate complex markets with confidence by delivering timely, actionable information and ongoing support.

Company size: 51-200
Company stage: Series C
Total funding: $1B
Headquarters: Chicago, IL
Founded: 2011

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