Manager, Compliance

E*Trade Chicago , IL 60602

Posted 3 months ago

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.

Summary

As part of the Enterprise Compliance Team, the candidate will be primarily responsible for providing support to the Head of Derivatives Compliance with respect to administering futures/options policies and procedures, creating and implementing a futures/options compliance workplan based upon risk assessments and interactions with the trading product business personnel along with providing general compliance advisory support. The candidate is expected to possess excellent analytical skills and be able to manage multiple responsibilities simultaneously. General knowledge of equity, futures and option trading strategies is required.

Responsibilities

  • Assist the futures Chief Compliance Officer with daily compliance reviews and other futures related responsibilities.

  • Administer the futures compliance workplan and ensure that the plan's objectives are met and well documented.

  • Successful candidates will have a desire to work in a collaborative Team setting where interaction with various internal business partners is critical.

  • Active participant in regulatory examinations and internal audits.

  • Stay abreast of relevant industry trends and regulatory examination priorities, enforcement actions, and rule changes. Evaluate the internal impact of each issue and take action, as necessary.

  • Participate in Risk Assessments and special projects, as assigned.

  • Provide Compliance ongoing support to derivatives trading product team throughout product development lifecycle.

  • Work with business partners to draft and keep current required policy and procedure documents including written supervisory procedures manual and standard operating desk procedures.

  • Expected to proactively manage risk and escalate issues of concern promptly and through established departmental procedures.

  • Be knowledgeable of the brokerage industry as a whole and, more specifically, the intricacies of E*TRADE's policies and procedures

Basic

  • An undergraduate degree from a 4-year institution or four years of relevant experience

  • Series 3 license (within 180 days of hire)

  • 4+ years of experience in the futures and/or securities industry

  • Understanding of applicable NFA, CFTC, FINRA and SEC rules

Preferred

  • Series 4, 7, and/or 24 desirable

  • Excellent communication and relationship-building skills; can articulate message accordingly; and comfortable reaching out to and communicating with employees at all levels of the organization

  • Demonstrated organizational skills; ability to adjust to shifting workloads and priorities. A detail oriented professional with proven analytic and time management skills with a focus on delivering consistent results

  • Exudes a positive attitude coupled with a commitment to developing knowledge; focused on individual contributions leading to overall team success

  • Ability to work effectively in a team environment

  • Proficient in Microsoft Office suite of products including Outlook, Word, Excel and PowerPoint

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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Manager, Compliance

E*Trade