Associate, Compliance Analyst

eToro; New York (NY); Hybrid; USD 85,000 - 95,000; Full time

Job summary

An innovative trading platform is seeking a Compliance Analyst to join their dynamic team. In this role, you will manage compliance policies, conduct due diligence on vendors, and ensure adherence to regulations. With a focus on collaboration and education, this position offers a unique opportunity to thrive in a fast-paced environment. You will be integral in maintaining the integrity of compliance processes while supporting the growth of a global platform. If you are passionate about compliance and looking to make an impact, this role is perfect for you.

Benefits

Comprehensive benefits package

Cell phone stipend

Daily lunch allowance

Gym stipend

6% 401K match

100% insurance coverage for the employee

Additional leave / recharge days

eToro trading credits

Qualifications

• 1-3 years of experience in a compliance role with Broker-Dealer regulations.
• Strong understanding of compliance monitoring and risk assessments.

Responsibilities

• Maintain policies and procedures inventory with timely reviews.
• Conduct ongoing monitoring of vendors and associate surveillance.

Skills

Analytical Skills

Problem Solving

Communication Skills

Compliance Knowledge

Time Management

Education

Bachelor's Degree

Advanced Degree

Tools

Microsoft Office Suite

Google Workspace

Job description

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Associate, Compliance Analyst

eToro is the trading and investing platform that empowers users to invest, share and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest in a simple and transparent way. We have created an investment platform that is built around collaboration and investor education. On our platform, users can view other investors’ portfolios and statistics, and interact with them to exchange ideas, discuss strategies and benefit from shared knowledge. We have over 38 million registered users from 100 countries and our platform is available in 20 languages. We are a fast growing business with over 1,500 employees across 13 offices around the globe, strategically positioned to serve the needs of users. You can find out more about eToro here .

Description

Associate, Compliance Analyst

eToro is the trading and investing platform that empowers users to invest, share and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest in a simple and transparent way. We have created an investment platform that is built around collaboration and investor education. On our platform, users can view other investors’ portfolios and statistics, and interact with them to exchange ideas, discuss strategies and benefit from shared knowledge. We have over 38 million registered users from 100 countries and our platform is available in 20 languages. We are a fast growing business with over 1,500 employees across 13 offices around the globe, strategically positioned to serve the needs of users. You can find out more about eToro here .

We are constantly growing and are excited to share that we are looking for a Associate, Compliance Analyst to join our team!

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.
  
  

Requirements

• Bachelor’s degree required; advanced degree is a plus.
• FINRA Series 7 and 24 licenses required; Series 4 preferred or willingness to obtain within 180 days; Series 63 preferred.
• 1–3 years of experience in a compliance role, with knowledge of Broker-Dealer regulations; familiarity with money transmitter licensing is a plus.
• Solid understanding of the broker-dealer industry and regulatory landscape.
• Strong analytical skills with the ability to assess situations for compliance and business risk, and recommend practical solutions.
• Demonstrated strengths in problem solving, research, and time management.
• Comfortable raising concerns, asking critical questions, and engaging in open communication.
• Excellent written and verbal communication skills, with the ability to present information clearly and effectively.
• Ability to thrive in a dynamic, fast-paced startup environment.
• Experience with compliance monitoring, testing, and risk assessments is a plus.
• Proficiency with Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and Google Workspace tools.
• High level of integrity, professionalism, and sound judgment.
  
  

What we offer:

• Salary range for this role is $85,000 - $95,000 per annum
• Comprehensive benefits package
• Cell phone stipend
• Daily lunch allowance
• Gym stipend
• 6% 401K match
• 100% insurance coverage for the employee
• Additional leave / recharge days
• eToro trading credits
  
  

Location:

Work arrangement is either fully remote, or if they are in the Hoboken or NY area they would be hybrid - office and home. So maybe this is better text:

This position offers a hybrid work model, with in-office attendance in Hoboken, NJ required at least once a week if located in that area. Alternatively, this role may be based in any of the following locations as fully remote:

• Austin, Texas
• Washington, D.C. metropolitan area
• Other locations may be considered

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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