E*TRADE Financial Corporation, an online investing & trading pioneer, with 4.5 million accounts in 40 countries and $110 billion in customer assets, is continuing to reinvent the online trading industry. Our unique culture of innovation creates an environment where you will be continually learning and challenged to develop your career. |
The Director, Regulatory Affairs is responsible for handling and coordinating responses to regulatory inquiries and acting as the primary point of contact for onsite regulatory examinations. He/she is responsible for identifying trends and for escalating issues that pose risk or potential risk to the Firm. We are looking for an individual with substantial experience handling regulatory requests and onsite examinations and an extensive knowledge of retail broker-dealer and investment adviser operations.
· Coordinating the conduct of and response to FINRA, SEC and other SRO onsite examinations;
· Preparing written responses to various legal and regulatory inquiries;
· In coordination with Risk Management, tracking remediation efforts of any and all brokerage-related exam findings;
· Identifying compliance risk and developing review programs, self-assessments and/or conducting investigations as appropriate;
· Assisting with the firm’s new regulatory change management process;
· Coordinating with the firm’s anti-money laundering unit;
· Analyzing regulatory trends for purposes of helping develop CE Firm Element; and
· Advising Compliance staff regarding regulatory matters and working closely with Compliance Officers and Managers to proactively manage risk.
· 7-10 years’ experience in broker-dealer compliance and/or SRO or SEC
· Proven track record for the successful handling of regulatory examinations and inquiries
· Excellent written and oral communications skills
· Strong background in securities/broker-dealer regulation
· J.D. and strong academics required
· Series 7 and 24 preferred
We offer a competitive and comprehensive benefits package. Please visit https://career.etrade.com/why-work-at-etrade/employee-benefits to learn more about the opportunities.
E*TRADE Financial is an EQUAL OPPORTUNITY EMPLOYER
E*TRADE Financial - 15 months ago
E*TRADE is an innovative financial services company offering a full suite of easy-to-use online brokerage, investing and related banking...