AML Compliance Officer, tastytrade
$120-180k
+ Performance Bonuses: 15-20% of base salary based on individual and company performance + Stock Purchase Options
Options trading, futures & stock trading brokerage
Be an early applicant
Options trading, futures & stock trading brokerage
201-500 employees
Be an early applicant
$120-180k
+ Performance Bonuses: 15-20% of base salary based on individual and company performance + Stock Purchase Options
201-500 employees
Company mission
To help traders succeed through sophisticated technology, favorable pricing and exceptional customer service.
Role
Who you are
- Bachelor's degree in finance, business administration, or a related field. Advanced degrees or professional certifications (e.g., CAMS - Certified Anti-Money Laundering Specialist) are highly desirable
- Extensive experience in AML compliance within a broker-dealer firm, with a comprehensive understanding of KYC, CDD, EDD, Sanctions/OFAC, AML laws, regulations, and best practices specific to the industry
- Solid knowledge of relevant regulatory frameworks, including the Bank Secrecy Act (BSA), USA PATRIOT Act, CFTC, NFA, FINRA AML rules, and other applicable regulations
- Strong analytical and investigative skills, with the ability to identify suspicious patterns, conduct detailed investigations, and make sound judgments based on available information
- Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, and external parties
- Detail-oriented mindset, with exceptional organizational and time management skills to handle multiple priorities and meet deadlines
- Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization
- Licensing:
- Required: Series 3, Series 4, Series 7, Series 24, and Series 63
- Preferred: CAMS certification
- 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!
What the job involves
- Reports To: Chief Compliance Officer, Tastytrade
- As an AML Compliance Officer (“AMLCO”), you will play a critical role in ensuring compliance with anti-money laundering regulations, policies, and procedures
- Your primary responsibility will be to identify, prevent, and report potential instances of money laundering, terrorist financing, and other financial crimes within the organization, across all tasty products, including but not limited to, equities, options, futures, crypto and event contracts
- You will work closely with various internal teams to implement effective AML controls, conduct investigations, and maintain a strong regulatory standing
- This position requires a deep understanding of AML laws and regulations specific to broker-dealer, futures commission merchant, swap firm, and introducing broker operations, as well as strong analytical and problem-solving skills
- Develop, implement, and maintain comprehensive AML policies, procedures, and controls that align with regulatory requirements (FINRA, SEC, CFTC, and NFA) and industry best practices
- Conduct regular AML risk assessments to identify and mitigate potential AML/Sanctions risks associated with products, services, and customer base
- Act as the primary point of contact for regulatory authorities, auditors, and law enforcement requests, managing all inquiries, examinations, and reporting obligations related to AML compliance
- Provide oversight and guidance over the enterprise compliance function
- Establish and maintain relationships with industry Peers, Partners, and Regulators to foster a collaborative approach to compliance
- Conduct thorough investigations into flagged transactions or activities, collaborating with internal teams such as compliance, legal, and operations to gather necessary information and evidence
- Responsible for customer cashiering activity surveillance, trade surveillance programs, and KYT requirements
- Tune and continuously improve monitoring coverage regarding AML Systems, Reporting and Analytics, including for AML transaction monitoring systems
- Stay updated on relevant AML laws, regulations, and industry trends, and proactively assess the impact of any changes on the firm's AML program, recommending necessary updates to policies and procedures
- Lead CDD, EDD, and Customer Risk rating efforts
- Keep accurate records and documentation of AML activities, investigations, and reporting, ensuring adherence to recordkeeping requirements
- Prepare and oversee Suspicious Activity Reporting, 314(a), and 314(b)
- Engage routinely with Account and Banking Operations, Fraud, Legal, Audit, Engineering, Data Analytics, and other business lines
Our take
With the aim of "making investing fun”, Unicorn-verified tastytrade has amassed a following in the hundreds of thousands, delivering technology and support for "do-it-yourself" investors.
Founded in 2011, the company supplies not only a trading platform but trading education resources as well. It has launched dozens of podcasts and online video channels focusing on investment strategies and trading, as well as learning courses for those looking to get their start in the space.
Acquired by IG Group, a global player in trading, in 2021, tastytrade has since employed this added strength to scale up its business and expand into international markets. This increasing visibility - at a time when markets are especially unpredictable and its platform an invaluable asset - has enabled tastytrade to continue its upward momentum, reporting record demand in 2025. This strong performance highlights the growing importance of its platform in an ever-evolving market.
Freddie
Company Specialist at Welcome to the Jungle
Insights
23% employee growth in 12 months
Company
Funding (last 2 of 3 rounds)
Jun 2018
$20m
SERIES C
Jun 2013
$7m
EARLY VC
Total funding: $47m
Company benefits
- 3 Medical Plans Choice
- Dental & Vision Benefits
- Generous Paid Time Off
- Paid Holidays - All Market Holidays Off
- 401(k) with Company Match
- Generous Parental Leave
- Disability Leave & Disability Insurance
- Commuter Benefits
- Pet Insurance
- Wellness & Mental Health Programs
- Performance Bonuses
- Subsidized Engineering Training Program
- Stock Purchase Options
- Gym Membership Reimbursement
- Charitable Donation Matching
- Healthcare FSA
- Two Paid Volunteer Days Off
- Daily Catered Lunch
- Fully-stocked Kitchen with Snacks and Drinks
- Onsite Gym
- Casual Dress
- Sustainable Work Day
- CTA stop a block away, Shuttle to/from Metra
- Shared rooftop with greenery overlooking the city
- West Loop Location - Chicago's Tech Center
Company HQ
Fulton Market, Chicago, IL
Salary benchmarks
We don't have enough data yet to provide salary benchmarks for this role.
Submit your salary to help other candidates with crowdsourced salary estimates.
Share this job
View 5 more jobs at tastytrade