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 Compliance Analyst will report to the Compliance Officer within the Enterprise Compliance Testing & Inspections team and will perform testing to determine compliance with applicable laws and regulations. Responsibilities include testing of internal controls, quality control review of monitoring functions performed by first and second line, and remediation of issues. The Senior Compliance Analyst will work with management to evaluate opportunities to enhance and expand the Testing & Inspection program and will provide additional compliance support, such as addressing and resolving issues and questions from various business partners and servicers.
Be able to lead and independently test the adherence to regulatory requirements and adequacy of control systems, and suggest enhancements as appropriate
Collect and analyze large volumes of data, interview business partners and service representatives, compile and analyze inspection findings to determine exceptions to stated policies, procedures and regulatory expectations
Be knowledgeable about the retail products and services available and offered by the E*TRADE Entities.
Obtain a thorough understanding of the policies and procedures that apply to various business units, as well as the ETRADE Securities and ETRADE Capital Management written supervisory procedures
Prepare and present written reports within specified timeframes, track issue remediation to completion, ensure all testing deliverables and deadlines are met
Assist in other Compliance related projects, as assigned
Stay current on industry and regulatory changes
Minimum of 3 years of experience performing compliance-related testing activities for a federally regulated bank and/or broker-dealer, similar experience at a federal banking agency or SRO.
Prior experience in both bank and/or brokerage compliance testing
Highly knowledgeable in compliance requirements for sales & operations, deposits, lending, and other federal laws and regulations.
Understanding of ECOA, REG CC, REG D, REG DD, REG E, REG GG, FCRA, TILA, RESPA, TCPA, Privacy, Right to Financial Privacy, NACHA Rules, ESIGN and applicable FINRA, SEC, NFA, MSRB and SIPC rules
BS/BA degree strongly preferred
Excellent ability to interpret and communicate regulatory guidance
Strong research, analysis, problem-solving, and decision-making skills with the ability to identify compliance risks and issues for escalation to management, as necessary
Quick learner with excellent communication skills, team orientation, and ability to work with counterparts in different areas of the organization
Attention to detail and strong sense of ownership and accountability are mandatory qualities.
Ability to establish priorities, work independently, and proceed with objectives without supervision
Strong organizational skills and proficiency with PowerPoint, SharePoint, and other Microsoft Office products
Series 7, 24
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.