Sorry, this job is no longer accepting applications. See below for more jobs that match what you’re looking for!

Senior Compliance Analyst

Expired Job

E*Trade Arlington , VA 22201

Posted 4 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.

The Senior Enterprise Compliance Analyst will be responsible for supporting the Enterprise Regulatory Relations Team by responding to regulatory inquiries and document requests directed to the E*TRADE Financial Corporation and its various affiliates. The Senior Analyst will be responsible for providing clear and concise responses to the Firm's regulatory authorities by researching information, gathering documentation and coordinating across multiple lines of business. In addition, the Senior Analyst will be responsible for tracking individual deadlines, editing workflows, and organizing electronic response files.


  • Perform compliance research throughout business lines

  • Create written responses to inquiries and data requests

  • Maintain electronic copies of all correspondence and documentation sent to regulatory authorities

  • Complete responses within deadlines set by regulatory authorities

  • Assist in tracking and monitoring risks within the business and infrastructure areas of the broker-dealer

  • Assist Enterprise Regulatory Relations with special projects, as needed


  • 3-5 years of relevant experience within the financial services industry

  • Undergraduate degree from a 4-year institution

  • Series 7 and 24 licenses, or ability to obtain within 6 months

  • Familiarity with Microsoft Office (Word, Excel & PowerPoint)

  • Excellent verbal, written, and presentation communication skills in addition to strong editing and research skills


  • Knowledge of the FINRA Gateway

  • Knowledge of FINRA and SEC rules and regulations

  • Experience in a Brokerage Operations environment

  • Must be able to collaborate and cultivate relationships with key business partners, across the Compliance and within E*TRADE's various business units

  • Excellent people skills and ability to work with individuals at all levels, including executive management

  • Ability to identify potential issues and escalate to the attention of Compliance management

  • Ability to exercise good judgment and discretion, especially with respect to sensitive matters

  • Ability to work under pressure, meet deadlines, prioritize, and multi-task

  • Ability to engage in strategic thinking, innovative problem solving, and finding client-focused solutions

  • Ability to work both independently and as a member of a team

  • Professional, detail-oriented, punctual, flexible, and organized.

We offer a competitive and comprehensive benefits package. Please visit 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.

See if you are a match!

See how well your resume matches up to this job - upload your resume now.

Find your dream job anywhere
with the LiveCareer app.
Download the
LiveCareer app and find
your dream job anywhere

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Senior Director Global Export Compliance

Flir Systems

Posted 4 days ago

VIEW JOBS 12/13/2018 12:00:00 AM 2019-03-13T00:00 Be visionary At FLIR, we have a simple but ambitious mission: to develop market-leading thermal and sensing technologies which enhance everyday life. From saving energy, to saving lives FLIR is making a real difference in our world. Our products are used in a wide array of situations to rescue people in danger, detect criminals, conserve energy, navigate safely, provide security around the globe, and protect our environment. We are looking for individuals who thrive on making an impact and want the excitement of being on a team that wins. Job Description The Senior Director, Global Export Compliance is responsible for developing and ensuring adoption of trade compliance processes and use of related tools and systems required to ensure compliance with applicable laws and regulations. The successful candidate will be proficient with the EAR, ITAR, Foreign Trade and OFAC requirements. Demonstrated capability with developing trade programs for non-U.S. export and import regulations required. The Director will lead the development of policies, procedures and unit operational processes and will lead efforts to effectively integrate and validate their successful implementation in business operations. The Director will lead the development and use of key performance metrics and driver measures for the corporate function and in business unit level trade operations. Key Responsibilities: * The Director, with assistance from corporate trade peers, will be required to ensure that the company effectively establishes baseline trade compliance requirements for, and monitors regulatory changes for, all regions in which the company trades and will be required to coordinate communication of new policy requirements to business operations and lead efforts to validate successful implement of required changes. * The Director will provide functional leadership for some trade compliance personnel in business unit operations in coordination with business operations leadership and corporate trade peers. * The Director will work closely with, and effectively coordinate with, peers responsible for Investigations/Disclosures, Corrective Actions, Audit, Global Customs, Trade Technology, Logistics & Traffic, Jurisdiction & Classification, Global Licensing and Consent Agreement Program Management to develop and implement policy and practice as required to ensure a working understanding of requirements, and operational success, across the enterprise at a business unit level. * Previous experience working with representatives of government agencies desired (e.g. formal USG interactions; leading legal responses such as subpoena responses; leading responses to requests for information from regulators; leading voluntary disclosure preparation; developing and submitting government authorization applications, commodity jurisdictions or classification requests, requests for advisory opinions and other similar matters). * Experience with audit, investigations and disclosures, root cause and corrective action development, continuous improvement and program management across multiple business units desired. Familiarity with DSS and DOD requirements preferred Requirements: Demonstrated self-awareness, positive demeanor, willingness to seek counsel or guidance when needed, strong team skills, excellent leadership skills and the ability to communicate clearly and effectively at all levels in the organization (both written and verbal) are key requirements for this position. The Director will be expected to collaborate with people from a variety of areas in the enterprise. The right candidate will be capable of leading change by listening, consulting, making data driven decisions and leveraging industry expertise. Qualifications: 8 to 10+ years of prior export/import control -related experience required. US Government experience (e.g. DOS, DOC, DOD) a plus. Strong ability to interact comfortably at all levels in the organization with a particular ability to effectively integrate regulatory requirements into different functional areas in business operations (e.g. business development, order fulfillment, supply chain, logistics, etc.). Strong program management, analytical, presentation, writing and computer skills required. Candidate must be a highly-motivated self-starter with the skills and temperament to function effectively and efficiently in a dynamic environment and within a corporate trade team. FLIR and all of our employees are committed to conducting business with the highest ethical standards. We require all employees to comply with all applicable laws, regulations, rules and regulatory orders. Our reputation for honesty, integrity and high ethics is as important to us as our reputation for making innovative sensing solutions. FLIR is an equal opportunity employer. Flir Systems Arlington VA

Senior Compliance Analyst

Expired Job