Compliance Associate

description

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 cryptoassets. eToro is a regulated and secure platform, operating in full transparency with its clients’ interest in mind.


The Compliance team are a key member of eToro USA’s early and on-going team. The Compliance Department provides service, support, and advice to promote the firm’s growth and development while helping employees and the firm meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity. This role will report to the Chief Compliance Officer and assist with the day-to-day administration of the firm’s compliance program. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.  


  • Perform risk analysis of business within SEC rules and regulations, to include such as Rule 204; 206 and section 208
  • Review, maintain, and update the Firm’s regulatory filings, notably those with the SEC, FINRA and applicable states.  (Form ADV. BD, BR, U-4, CRS, etc)
  • Develop, maintain, and update the Firm’s compliance policies and procedures. Assist in conducting employee training with respect to the compliance program on each entity. 
  • Conduct the SEC-required annual review of the Firm’s policies and procedures, including testing of the policies and procedures, and participate in the drafting of the report to management regarding the same. 
  • Conduct risk assessments; recommend risk mitigation techniques and controls. 
  • Maintain the required compliance and corporate files as mandated by the SEC, FINRA and state regulators. 
  • Monitor Code of Ethics, gifts, entertainment, political contributions etc
  • Stay ahead of regulations applicable to the firm by proactively researching and assessing upcoming rules. 
  • Respond to regulatory inquiries and third party examiners, by assisting the CCO. 
  • Conduct appropriate surveillance of business activities, including a review of investment allocations and investment guidelines and restrictions, specifically as it relates to the Firm’s registered investment products. Communicate directly with the Chief Compliance Officer regarding various written inquiries. 
  • Monitor new legal and regulatory developments and update policies and procedures accordingly.  
  • Help establish and evolve the IA and broker dealer Monitoring & Surveillance over business processes and controls 
  • Conduct risks assessments and testing of all compliance programs
  • Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
  • Review, draft and implement compliance procedures
  • All other duties as assigned and special projects as necessary. 

This is a remote position. We are hiring in the following locations ONLY:

  1. Austin, TX
  2. NY Metropolitan Area
  3. Los Angeles, CA
  4. Miami, FL
  5. Scottsdale, AZ


requirements

The successful candidate will ideally possess the following qualifications and attributes:

  • Bachelor’s degree required; advanced degree a plus. 
  • Series 14, 24 or 65/66 ideal.
  • 5+ years of experience in a compliance function for a SEC or multi-state registered investment adviser, preferably one that manages registered investment products with multiple advisers across multiple states as well as Broker Dealer regulations
  • Strong understanding of the broker dealer industry along with the asset management industry and securities markets in general, as well as a thorough knowledge of securities laws that relate to such.
  • Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk. 
  • Strong abilities in analytical thinking, problem solving, research, and time management.
  • Meticulous attention to detail and highly accurate. 
  • A self-starter that enjoys a team-oriented approach.
  • Excellent communication (written and oral), presentation and interpersonal skills
  • Comfortable operating in a fast paced start-up
  • Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities
  • Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
  • Significant level of trust, credibility and diplomacy is required


USA Office
location
Compliance
department
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