Manager, Compliance

Category: Compliance/Legal
Location: Arlington, VA
Job ID: 12510
Posted Date: August 5, 2019

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

This position will be part of the Compliance team for E*TRADE Financial. The applicant would be responsible for identifying and communicating changes to brokerage-related legal and regulatory requirements and support awareness of and compliance with applicable requirements that impact E*TRADE. The applicant will also be responsible for monitoring Federal and State legislative activity that may impact E*TRADE.

Responsibilities

  • Daily monitoring for legal and regulatory requirement changes through the Regulatory Change Management tool and external sources from the following:
  1. Federal Securities Regulators (e.g., FINRA, SEC);
  2. Futures Regulatory Bodies (e.g., NFA);
  3. Self-Regulatory Organizations; and
  4. Securities Exchanges
  • Summarize identified changes and present results
  • Provide oversight to personnel responsible for managing implementation of an identified change
  • Responsible for monthly and quarterly board reporting related to regulatory development
  • Maintain brokerage related laws and rules within the internal library of laws and rules
  • Maintain procedure/process documentation

REQUIREMENTS

Basic

  • 5+ years of experience managing brokerage related regulatory or policy related changes at a regulatory agency, law firm or public policy institution
  • Prior experience interpreting and applying securities/brokerage related regulatory requirements, including requirements of the SEC, FINRA, NFA and SRO’s and other securities exchanges;
  • Prior experience drafting/developing policy, procedure and/or program documentation
  • Experience maintaining a database – including responsibility for receiving, inputting and evaluating data
  • Experience in developing and delivering compliance communications to business unit and support function personnel

Preferred

  • College degree preferred
  • Excellent analytical, communication (verbal and written), organizational, business acumen, and report writing skills
  • Be results oriented and work with minimum supervision
  • Securities licenses or other professional designation preferred.

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.

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