Compliance Manager - Communications Review

description

About eToro

eToro is a multi-asset investment platform that empowers people to grow their knowledge and wealth as part of a global community of successful investors. eToro was founded with the vision of opening up the global markets so that everyone can trade and invest in a simple and transparent way. Today, we are a global community of more than 24 million registered users who share their investment strategies; and anyone can follow the approaches of those who have been the most successful. Due to the simplicity of the platform users can easily buy, hold and sell assets, monitor their portfolio in real time, and transact whenever they want.

The Compliance Manager - Communications Review role is a key member of eToro USA’s Compliance team and will report directly to the broker dealer (“BD”) Director of Compliance/Deputy CCO – BD Communications. The below functions are an example of the responsibilities to be assigned to this role, however they are not all-inclusive. 

Your Responsibilities:

  • Responsible for the Registered Principal reviews and approvals of broker-dealer retail communications, social media and public appearances.
  • Continually implement efficiencies and process improvements within the Communications with the Public Program (“CWP”). 
  • Actively analyze initiatives, provide white-glove support to business partners, and mitigate risk to the firm.
  • Partner with the Director of Compliance to continually enhance CWP policies and written supervisory procedures.
  • Perform periodic reviews, specifically related to supervision of retail communications, social media, and public appearances.
  • Drive initiatives to enhance current Disclosure Library, compliance trainings, reporting and more. 
  • Organize and coordinate follow-up items with responsible parties, ensure prompt execution of tasks and resolution of issues.
  • Strong understanding of regulatory obligations directly affecting financial services firms, concentrating with broker dealers.

 

requirements

Qualifications

  • FINRA Series 4, 7, 24 licenses required
  • 5+ years' Broker-Dealer experience
  • 2-3 years of prior relevant broker-dealer compliance experience in reviewing communications with the public
  • Knowledge of FINRA, SEC and other regulatory rules and regulations
  • Self-motivated, proactive and able to manage multiple priorities
  • Strong attention to detail, solution-based mentality, and works efficiently and autonomously
  • Ability to work in a fast-paced environment taking a risk-based approach, often balancing competing priorities and deadlines
  • Strong verbal and written communication and organizational skills
  • Stellar work ethic and hands-on approach
  • Authorized for employment in the United States
New York Metropolitan Area
location
Compliance
department
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