# Operations Manager, Trading & Regulatory Compliance **Company:** [tastytrade](https://hotfix.jobs/companies/tastytrade) **Location:** Chicago, IL **Role:** Other **Salary:** $120k – $150k/yr **Experience:** 3+ years **Skills:** mt5, mt4, nfa, cftc, trading operations, Regulatory Compliance, capital charge management, payment rails, ach, worldpay, tradingview, margin compliance, SOPs, Root Cause Analysis **Posted:** 2026-07-22 > Own the operational layer between trading platforms and regulatory obligations at tastyfx. Manage real-time platform monitoring, incident response, NFA/CFTC documentation, capital charges, payment rails, and compliance reporting in a fast-paced forex brokerage environment. ## Job Description ## What You'll Do ### Trading Operations & Platform - Conduct daily platform health checks across MT5, TradingView, ProRealTime, and the tastyfx proprietary platform, confirming all markets are online and systems performing as expected - Review and assess overnight incidents each morning: determine tastyfx impact, evaluate reportability as a market event, and escalate major incidents to appropriate stakeholders - Serve as first responder for execution anomalies, stale pricing events, order server issues, and platform outages, owning resolution before escalation to MD - Liaise with IG Group core dealing and pricing teams to coordinate response on new or ongoing incidents - Process trade corrections, cash adjustments, and account-level remediations for customers affected by trading incidents - Investigate trade disputes flagged internally, by clients, or by the NFA; produce clear documentation of findings and resolution - Monitor clients on margin call and identify large or systemic margin call situations requiring escalation - Support ongoing MT4-to-MT5 migration: track account progress, coordinate with platform teams on version updates, and flag client-impacting issues - Maintain operational runbooks, escalation procedures, and SLAs for incident response and resolution - Track and analyze operational risk events (OREs); implement corrective actions to prevent recurrence and prepare monthly ORE reports ### Regulatory & Compliance Operations - Own end-to-end drafting of all NFA incident reports and regulatory correspondence, with MD review and sign-off - Produce accurate, formal root cause analyses by coordinating with dealing, pricing, and platform teams following any reportable incident - Perform nightly review of the NFA Discrepancy Report and morning review of the NFA Processing Report; investigate and resolve flagged discrepancies or errors - Manage daily and periodic margin compliance monitoring across all active platforms (including NFA minimum margin rates and points-based systems), flagging anomalies and escalating appropriately - Support regulatory examinations and audits by providing operational documentation and responding to regulatory inquiries - Build and maintain internal SOPs for all operations functions, reducing institutional knowledge concentration risk - Track NFA/CFTC rule developments and assess operational impact; brief MD on compliance implications ahead of effective dates ### Capital & Liquidity Management - Monitor the JPMorgan credit line on an intraday basis, tracking capital charge usage and flagging utilization concerns to the MD ahead of threshold breaches - Own oversight of tastyfx's capital charge obligations resulting from the IG Markets relationship, ensuring charges are accurately calculated, tracked, and reported - Coordinate with IG Group treasury and finance teams on capital charge reporting, reconciliations, and any disputes - Maintain internal documentation of capital charge methodology, agreements, and any changes to the calculation framework - Review the BMO returns email and debit report daily; identify and escalate client debt positions as appropriate ### Payment Rails & Funding Operations - Own day-to-day oversight of all payment rails (ACH, wire, debit card, and any emerging funding methods), ensuring uptime, accuracy, and timely settlement - Identify and triage payment processing failures or delays; coordinate with providers (WorldPay, ACH processors, banking partners) to resolve issues promptly - Proactively optimize payment rails to reduce client funding friction, analyzing drop-off points, failure rates, and processing times to surface improvement opportunities - Monitor ACH reversal and fraud exposure across funding channels; escalate patterns and coordinate remediation with compliance and onboarding teams - Evaluate new payment methods and fintech integrations that could improve conversion or reduce cost; present recommendations to MD - Maintain SOPs for all payment operations workflows and ensure contingency procedures are documented and tested ### Data Management & Reporting - Analyze operational data (including order IDs, fortress files, trade data, and platform metrics) to identify trends and improvement opportunities - Develop and maintain reporting frameworks to track operational KPIs; present insights to MD and leadership on a regular cadence - Run the monthly trade count report and support VBR approval processes - Review monthly new account bonus activity and confirm timely payment processing - Check AO Stats for conversion performance and monitor AO queues for processing backlogs - Monitor interest paid to Prime clients monthly and flag anomalies ### Process Improvement & Operational Efficiency - Continuously identify opportunities to reduce manual intervention: if a process is overtly manual, evaluate automation or streamlining options - Implement operational controls and quality assurance measures to minimize errors and operational risk - Coordinate business continuity planning and disaster recovery testing; ensure operational resilience through redundancy procedures - Lead and contribute to ad hoc projects that support business growth, operational efficiency, or regulatory readiness - Provide data and project progress updates to the wider business as required ## Who You Are - Bachelor's degree required - 3–5 years in trading operations, dealing desk support, or platform operations at an NFA/CFTC-regulated firm (RFD, RFED, or FCM) - Licensure: Series 3 and 34 preferred; must be willing to obtain if not currently held - Hands-on MT4 or MT5 platform administration experience - Direct exposure to NFA regulatory filings, examination support, or compliance documentation - Strong written communication: able to produce precise, formal regulatory documents under time pressure - Comfort operating in a fast-moving environment with real-time incident triage and a varied daily workload ## Preferred Qualifications - Experience managing capital charge obligations or regulatory capital reporting at a broker-dealer or FCM - Hands-on experience with payment rail management (ACH, wire, debit card) and payment processor relationships - Experience coordinating with a prime broker, liquidity provider, or parent dealing desk - Familiarity with TradingView broker integration, Alloy, Plaid, WorldPay, or similar infrastructure - Working knowledge of retail forex margin rules, margin mechanics, and NFA net capital requirements ## 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 ## Similar roles - [Industrial Warehouse Engineer](https://hotfix.jobs/jobs/c3ff3970-a7d4-4755-85fc-fd36e11114ac) - Fluidstack - Remote - $120k – $160k/yr - [Flight Operations Engineer](https://hotfix.jobs/jobs/f39e1385-0ade-44de-ba9a-ec9c8840716a) - Icarus - El Segundo, CA - $120k – $180k/yr - [Creative Video Producer](https://hotfix.jobs/jobs/a378e86b-f986-4819-aa6e-d29849ba0010) - Exa - San Francisco, CA - $120k – $220k/yr - [Manufacturing Execution System Analyst](https://hotfix.jobs/jobs/a916da8e-cadc-4d8e-9709-77ad0877fba5) - Skydio - Hayward, CA - $120k – $170k/yr - [Simulation Engineer](https://hotfix.jobs/jobs/0e38896f-97f1-4e7f-8695-d2953ccc4ac4) - Applied Intuition - Ann Arbor, MI - $120k – $170k/yr **Apply:** https://hotfix.jobs/jobs/2d9ab389-63ca-4ccd-95f2-90e38bfab190 **Canonical:** https://hotfix.jobs/jobs/2d9ab389-63ca-4ccd-95f2-90e38bfab190