Associate Compliance Analyst (Temporary 6 Month FTC)

Requirements • Bachelor’s degree required; advanced degree a plus, • FINRA Series 7 and 24 required; Series 4 preferred, • 2+ years of experience in a compliance function and familiarity with Broker Dealer rules and regulations; knowledge or familiarity with money transmitter licenses a plus, • Strong understanding of capital markets and the broker dealer industry, • 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, • Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook), • Significant level of trust, credibility, and diplomacy is required What the job involves • Come join our Award Winning Compliance team! The Compliance team are key members of eToro USA’s 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 into a Compliance Manager within the Compliance organization and assist with the day-to-day administration of the Firm’s compliance program for its money service (“MSB”), digital asset business, and broker dealer (“BD”) businesses, • Note: This is a Regulatory Compliance focused position, not AML, • 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, • Conduct on-going eToro associate surveillance, including but not limited to gifts and entertainment, private securities transactions, and political contributions, • Manage and maintain the required tracking, monitoring, responses, and applicable regulatory reporting for the Firm’s Complaints program, • Marketing advertising reviews, • Support compliance testing of the various lines of business, • Support compliance function all regulatory reporting requirements, such as permissible investment reports, call reports, and audited financial statements, etc. are met accurately and timely, • 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 CCO, • 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 Apply tot his job Apply To this Job