• Analyst, Principal Review

    Job Locations US-NJ-Jersey City | US-GA-Alpharetta
    Posted Date 1 week ago(1/10/2019 3:29 PM)
    Requisition ID
    Professional Area
  • Who We Are

    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.


    We are looking for dynamic, highly energized individuals who are ready to join a fast-paced, world leader in the financial services industry. Our work culture fosters an incredible exposure to innovative ideas and challenges that create unique learning experiences and opportunities. This person will be responsible for Principal Review approval of requests received from E*TRADE customers and review of inquiries received from E*TRADE Financial personnel.


    Responsibilities will include processing all requests related to Principal Review.

    About the Role

    Description of duties, responsibilities, and essential functions                  100% of Time


    • Candidate will be responsible for the review of new investment account applications to ensure compliance with the Financial Industry Regulatory Authority (FINRA) rules and regulations, and the firm's policies and procedures. Candidate will review Option and Margin upgrade requests to determine customer eligibility. The candidate will identify, document, and resolve application exceptions and communicate with internal departments such as Customer Service, Fraud, Operations, Compliance and Legal.
    • Provide Principal approval to various account updates including Power of Attorney requests and changes in registration to existing accounts.
    • Candidate will be responsible for participating in the updates of departmental policies and procedures, as well as ensuring all internal and regulatory audits are compliant.
    • Candidate will be required to perform against key performance indicators and metrics.





    Minimum prior experience (Type of experience):

    §  Experience and familiarity with retail brokerage operations.

    §  Any prior experience with Principal Review is a plus but not required.




    Minimum skills/knowledge (skills and abilities necessary for position):


    ·         Strong decision making and critical thinking competencies

    ·         Must be a dynamic and self-starting individual

    ·         Must possess the ability to work in a production-oriented environment & meet tight processing deadlines

    ·         Excellent organizational skills and prioritization techniques to adapt to changing priorities

    ·         Excellent verbal and written communication skills especially pertaining to team and interdepartmental communications

    ·         Ability to work on multiple initiatives simultaneously


    Minimum Education:

    §    Bachelors Degree or equivalent work experience in an area relevant to this position.


    Minimum Physical Requirements:

    §  Ability to work overtime as needed to maintain required deadlines and service levels.


    In addition to the Minimum requirements listed above it is required to have the following FINRA licenses:


    • Series 7, 63 and 24 required.
    • Series 4, and 3 preferred
      • The series 3 and 4 licenses must be obtained after accepting the position.


    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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