E*TRADE Financial, LLC

Senior Analyst I - Principal Review, Oversight and Supervision

Job Locations US-UT-Sandy | US-GA-Alpharetta | US-NJ-Jersey City
Posted Date 5 days ago(10/21/2020 9:05 AM)
Requisition ID
Professional Area
Risk Management

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



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.


*Candidate can sit in Sandy, UT, Alpharetta, GA, or Jersey City*





  • 2+ years of experience in the retail brokerage industry
  • FINRA licenses: Series 7, Series 63, Series 24 and Series 4 (Series 3 license is preferred)


  • Bachelor’s degree
  • Strong familiarity with the financial service industry and products offered
  • Ability to review complex customer documentation and exercise high level of professional judgement while following firm and industry regulations for customer account set up
  • Must always consider the risk, regulatory, and Compliance environment that Principal Review tasks are executed within
  • Must possess the ability to work in a production-oriented environment and meet tight processing deadlines
  • Must be able to work on multiple initiatives simultaneously
  • Excellent organizational skills, time management skills, and ability to prioritize time-sensitive requests
  • Excellent verbal and written communication skills
  • Must be able to work in a dynamic environment and thrive in situations that require new solutions 
  • Ability to work overtime as needed to maintain required deadlines and service levels


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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