Compliance Officer, tastytrade

$100-140k

+ Stock Purchase Options + Discretionary Performance Bonus: 8-12% of base salary based on individual and company performance

Senior and Expert level

Chicago

3 days a week in office

Options trading, futures & stock trading brokerage

Open for applications

Options trading, futures & stock trading brokerage

201-500 employees

FintechB2CTradingMobile

Open for applications

$100-140k

+ Stock Purchase Options + Discretionary Performance Bonus: 8-12% of base salary based on individual and company performance

Senior and Expert level

Chicago

3 days a week in office

201-500 employees

FintechB2CTradingMobile

Company mission

To help traders succeed through sophisticated technology, favorable pricing and exceptional customer service.

Job

Company

Role

Who you are

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
Prior experience at an NFA-regulated FCM or RFED, or regulatory agency
If you’re excited about this role, but your experience doesn’t align perfectly, we encourage you to apply anyway

What the job involves

As a Compliance Officer, you will support the firm’s compliance program, ensuring adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations. The role is critical to maintaining the firm’s regulatory standing and reports directly to the Chief Compliance Officer
Tastyfx is a retail brokerage that provides professional-grade, world-class technology to retail traders at industry-leading prices. We focus on giving customer access to global currencies via the spot forex market. Built from the ground up by a team with decades of experience in the financial industry, we’re a modern brokerage for the current financial climate
Monitor and ensure ongoing compliance with CFTC Regulations and NFA Compliance Rules
Provide advice and guidance to the business partners on existing products and services as well as new products
Maintain firm registration; track AP licensing requirements
Assist the CCO with responding to NFA and CFTC inquiries, audits and examinations; coordinate documentation requests
Review marketing materials and customer communications for compliance with NFA Marketing Compliance Rules
Deliver training on compliance requirements, including emerging regulations, internal protocols, and best practices
Supervise customer due diligence processes to ensure adherence to AML and KYC requirements, optimizing the customer experience while managing the firm's customer risk
Monitor suspicious activity and prepare SAR filings as needed in coordination with the AML Officer/CCO
Monitor customer complaint handling

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

Glassdoor (4.5)

Trustpilot (3.7)

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

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