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eToro · 2 days ago
Associate Compliance Analyst
NYC Metro Area
Full-time
Hybrid
Mid Level
$75K/yr - $90K/yr
1+ years exp
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Responsibilities
Maintain and manage policies and procedures inventory, including ensuring regular and required reviews and approvals are completed in a timely manner.
Identify and track updates to the policies and procedures inventory, as well as ensure proper approvals have been obtained and recorded.
Manage and maintain eToro’s Record Retention Policy and program
Support performing due diligence for compliance vendors leveraged to support the MSB, digital asset, and broker dealer businesses, and produce reports to Manager and Chief Compliance Officer (CCO).
Conduct ongoing monitoring of Firmwide vendors
Conduct on-going eToro associate surveillance, including but not limited to trading activity, gifts and entertainment, and private securities transactions.
Track and coordinate development of management action plans for remediation to address compliance testing results and any findings/recommendations that result from audits and examinations of the MSB, digital asset, and BD businesses.
Test and validate remediation to ensure design effectiveness.
Maintain the required compliance and corporate files as mandated by the SEC, FINRA and state regulators.
Assist Manager or CCO with responses to regulatory inquiries, examinations, and audit requests.
Maintain the Firm’s regulatory filings, such as Form BR, U4, U5, Form CRS, and Form BD.
Manage and execute the Firm’s annual compliance training, which includes, needs analysis, annual compliance meeting, regulatory element and Firm element training programs.
Manage and maintain the required tracking, monitoring, responses, and applicable regulatory reporting for the Firm’s Complaints program.
Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.
All other duties as assigned and special projects as necessary, which may include trade surveillance, review of anti-money laundering (AML) alerts, regulatory change management, etc.
Qualification
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Required
Bachelor’s degree required; advanced degree a plus.
Certifications: Series 7 and 24 required; Series 4 and 63 preferred (or willing to obtain)- Must
1-3 years in a compliance role; familiarity with Broker Dealer rules and money transmitter licenses is a plus.
A foundational understanding of and familiarity with the broker-dealer industry
Has the ability to analyze situations for compliance and business risk, and propose solutions to address and mitigate such risk
Strong abilities in analytical thinking, problem-solving, research, and time management
Ability to raise concerns and ask questions
Effective and efficient time management skills
Meticulous attention to detail and highly accurate
A self-starter who enjoys a team-oriented approach
Excellent communication (written and oral), presentation, and interpersonal skills
Comfortable operating in a fast-paced start-up
Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook) and Google products
A significant level of trust, credibility, and diplomacy is required
Preferred
Experience in monitoring, testing, and conducting risk assessments is a plus
Benefits
Cigna medical insurance
Guardian dental, vision, Life and AD&D
Short-Term Disability
Long-Term Disability
Voluntary Life and AD&D insurance
6% matching employer contribution 401K
Lunch allowance
Gym memberships
Additional leave days not subject to the PTO or Sick Day policies
Fun in-person events
Virtual activities
EToro swag
Holiday gifts
Company
eToro
EToro is a social trading and investment network that allows users to trade currencies, commodities, indices, crypto assets, and stocks.
1,001-5,000 employees
Funding
Current Stage
Late StageTotal Funding
$692.7MKey Investors
China Minsheng Financial HoldingsCommerzVenturesFuture Fifty
2023-07-31Secondary Market· $120M
2023-03-21Series Unknown· $250M
2021-03-16Private Equity· Undisclosed
Leadership Team
Lule Demmissie
CEO - US
Shalom Berkovitz
CFO & Deputy CEO
Recent News
2024-05-27
Coin Telegraph
2024-05-27
Coin Telegraph
2024-05-21
Company data provided by crunchbase
