Compliance Analyst

Category: Compliance/Legal
Location: Jersey City, NJ
Job ID: 11274
Posted Date: December 5, 2018

More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.

RESPONSIBILITIES

Summary

As part of the Brokerage Compliance Department, the Compliance Analyst will be a member of the Associate Registration Team. The Compliance Analyst will be responsible for various elements pertaining to the licensing and registration of E*TRADE’s Associates, including adherence to the Regulatory Element of FINRA’s Continuing Education requirements, and the ongoing maintenance of the registrations of ETFC’s registered broker-dealers, registered investment adviser and futures commission merchant. Additional Compliance support, such as addressing and resolving issues and questions from business partners through-out the various E*TRADE entities.

Responsibilities

  • Liaise with a wide cross-section of other departments, including Human Resources, Legal and Talent Acquisition, to implement a variety of procedural and process enhancements designed to maintain compliance with regulatory requirements pertaining to the licensing of Associates
  • Maintain current filings of Forms BD, BR, U4, U5 and ADV, including by monitoring for amendments and filing updates in an accurate and timely manner, and overseeing timely renewals of various licenses
  • Be generally knowledgeable of the brokerage industry and, more specifically, the intricacies of E*TRADE’s policies and procedures
    Manage day to day administrative tasks
  • Stay abreast of relevant industry and regulatory trends and changes
  • Participate in special projects, as assigned
REQUIREMENTS

Basic

  • 1-2 years Compliance experience
    Undergraduate degree from a 4-year institution
  • Understanding of applicable FINRA (NASD), SEC, NFA, MSRB and SIPC rules
  • Proficient in Microsoft Office suite of products including Outlook, Word, Excel and PowerPoint

Preferred

  • Series 7 and 24 licenses
  • Demonstrated analytical, written and oral communication skills
  • Self-motivation, time management and organizational skills
    Ability to accept instructions and directions while executing against tasks on an autonomous basis
  • Ability to establish priorities, work independently, and proceed with objectives without supervision
  • Ability to work effectively in a team environment
  • Maintain open communication with other members of Compliance Department

We offer a competitive and comprehensive benefits package. Please visit https://www.etradecareers.com/why-work-at-etrade/employee-benefits/ to learn more about the opportunities.

E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.

Upcoming E*TRADE career events

There are no upcoming events at this time.