• Senior Compliance Analyst

    Job Locations US-VA-Arlington | US-NJ-Jersey City | US-IL-Chicago
    Posted Date 2 weeks ago(11/5/2019 2:58 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.

    About the Role



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