Associate, Compliance Analyst

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