Compliance Officer, Retail FX – Chicago (In-Office)

Tastyworks; Chicago, Northern (IL, KY); Hybrid; USD 120,000 - 190,000; Full time

Benefits offered by this job

Performance Bonuses

Stock Purchase Options

401k Plan

20 Paid Vacation Days (plus an extra)

10 Paid Sick Days

Pet Insurance

Wellness & Mental Health Programs

Charitable Donation Matching

Daily catered lunch in office

Full kitchen with snacks and beverages

Shuttle to/from Metra

Job summary

IG North America is seeking a Compliance Officer to support the firm’s compliance program for tastyfx/tastytrade futures in Chicago. You will ensure adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations.

This role reports to the Chief Compliance Officer and requires oversight of AML/KYC processes, marketing material reviews, and coordination of inquiries, audits, and examinations. Strong collaboration with trading, ops, IT, and legal is essential.

Qualifications

• Bachelor's degree in Finance, Business, Law, or related field
• 5+ years of compliance experience in the retail forex, futures, or derivatives/securities industry
• Working knowledge of CFTC Regulations and NFA rules applicable to RFEDs, FCMs and Forex Dealer Members
• Strong AML/BSA understanding 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

Responsibilities

• 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.

Skills

CFTC/NFA compliance

AML/BSA understanding

Regulatory communication

Cross-functional collaboration

Regulatory audits/examinations

Attention to detail

Stakeholder management

Education

Bachelor's degree in Finance, Business, Law, or related field

Job description

IG North America is seeking a Compliance Officer to support the firm’s compliance program for tastyfx/tastytrade futures in Chicago. You will ensure adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations.

This role reports to the Chief Compliance Officer and requires oversight of AML/KYC processes, marketing material reviews, and coordination of inquiries, audits, and examinations. Strong collaboration with trading, ops, IT, and legal is essential.