Head of Regulatory Affairs - tastytrade

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!