# Compliance Officer

**Company:** [tastytrade](https://hotfix.jobs/companies/tastytrade)
**Location:** Chicago, IL
**Role:** Legal
**Salary:** $100k – $140k/yr
**Experience:** 5+ years
**Skills:** Cftc Regulations, Nfa Rules, AML, Bsa, Kyc, Sar Filings, Series 3, Series 34, Regulatory Compliance, Customer Due Diligence, Retail Forex, Futures
**Posted:** 2026-08-27

> Supports the compliance program for a retail forex brokerage by monitoring CFTC and NFA requirements, advising on products, overseeing AML/KYC processes, and coordinating regulatory examinations. Requires a bachelor’s degree and at least five years of relevant financial-services compliance experience.

## Job Description

## Responsibilities
- Monitor and ensure ongoing compliance with CFTC regulations and NFA compliance rules.
- Advise business partners on existing and new products and services.
- Maintain firm registration and track associated-person licensing requirements.
- Support the Chief Compliance Officer with NFA and CFTC inquiries, audits, and examinations; coordinate documentation requests.
- Review marketing materials and customer communications for compliance with NFA marketing rules.
- Deliver training on compliance requirements, emerging regulations, internal protocols, and best practices.
- Supervise customer due diligence processes to maintain AML and KYC compliance while managing customer risk.
- Monitor suspicious activity and prepare SAR filings in coordination with the AML Officer and Chief Compliance Officer.
- Monitor customer complaint handling.

## Requirements
- Bachelor's degree in Finance, Business, Law, or a related field.
- 5+ years of compliance experience in retail forex, futures, derivatives, or securities.
- Working knowledge of CFTC regulations and NFA rules applicable to RFEDs, FCMs, and Forex Dealer Members.
- Strong understanding of AML/BSA requirements in financial services.
- Excellent written and verbal communication skills for regulatory correspondence and internal policy drafting.
- Ability to work cross-functionally with trading, operations, IT, and legal teams.
- Prior experience at an NFA-regulated FCM or RFED, or a regulatory agency.

## Nice to Have
- Series 3 and Series 34 licenses.

## Compensation and Benefits
- Salary: $100,000-$140,000 annually.
- Discretionary performance bonus of 8-12% of base salary, based on individual and company performance.
- Stock purchase options.
- Medical, vision, and dental benefits.
- 401(k) plan.
- 20 paid vacation days, plus an additional paid vacation day during the employee's birthday month.
- 10 paid sick days.
- Gym membership reimbursement and in-building gym.
- Commuter benefits and shuttle service to and from Metra.
- Pet insurance.
- Wellness and mental health programs.
- Charitable donation matching.
- Two paid volunteer days off.
- Daily catered lunch and office kitchen snacks and beverages.

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