Senior Compliance Associate
eToro is the leading global investment platform that makes online trading and investing accessible to everyone. More than 11 million registered users are already using eToro’s platform to participate in markets old and new, including traditional stocks and commodities to cutting-edge crypto assets. eToro is a regulated and secure platform, operating in full transparency with its clients’ interest in mind.
This role is a key member of eToro USA’s early team and will serve as the critical support member to the broker dealer (“BD”) compliance department which includes building out the function. The below functions are an example of the responsibilities to be assigned to this role, however they are not all-inclusive. As an early employee, you will be expected to support the USA Broker Dealer CCO and as the Company grows, you will have the opportunity to scale your impact.
- Responsible for the oversight of project management in regards to regulatory projects/ inquiries. Assist with regulatory inquiries and exams, including document and data retrieval.
- Continually seek out and implement efficiencies and process improvements. Actively analyze problems and implement corrective action.
- Work with the global organization to consistently determine where we can improve and where issues in new projects/ changes may exist.
- Work with the compliance team to execute the firm's supervisory policies and procedures. Constant review of such to ensure up to date at all times.
- Perform periodic enhanced reviews, specifically related to trade reporting.
- Collaborating with lawyers and other compliance professionals on Legal and Compliance projects related to the broker dealer’s business.
- Updating compliance filings, records and systems relevant to broker-dealer registrations, employee files, and other similar legal and compliance functions.
- Testing of Compliance policies and procedures in support of annual certifications and reviews.
- Contributing to the surveillance program, including performing e-communication reviews.
- Assisting with the administration of the training program along with helping to organize, coordinate and complete both central compliance projects and daily tasks.
- Organizing and coordinating follow-up items with responsible parties and ensuring prompt execution of tasks and resolution of issues.
- Assist in the composition and maintenance of employee disclosure forms.
- Forensic testing of client’s personal securities trading activities, electronic communications review, gifts and entertainment, outside business activities and other conflicts of interest.
- Oversee compliance risk assessments, testing and monitoring programs in accordance with regulatory expectations and best practices.
- Strong understanding of regulatory obligations directly affecting financial services firms, concentrating with broker dealers.
- Examine and stay apprised of updates and developments in the regulatory environment, while providing bespoke guidance.
- Support in the launch of the RIA
- FINRA Series 7, 14 or Series 24 licenses required
- Prior relevant compliance experience with a Broker Dealer
- Knowledge of FINRA, SEC and other regulatory rules and regulations
- Self-motivated, proactive and able to manage multiple priorities
- Strong attention to detail
- Ability to work in a fast paced environment under many deadlines/ projects
- Strong communication and organizational skills
- Strong work ethic and hands-on approach
- Authorized for employment in the United States