🎁 eToro | Compliance Analyst

  • Link: Compliance Analyst from eToro

  • Dates: All year 2023
  • Job location: NY, USA or remote.
  • Job description: Conduct testing of the policies and procedures as required under FINRA Rule 3110. Participate in the drafting of the report to management. Coordinate and support the CCO with the annual broker dealer report as required by FINRA Rule 3120. Conduct compliance testing of new products to ensure mitigating controls function and identify any gaps. Perform due diligence for compliance vendors leveraged. Conduct and provide reports on impact/gap/risk assessments regarding proposed rule changes, enforcement matters, and/or self-identified business needs. Track and coordinate development of management action plans for remediation. Maintain the required compliance and corporate files as mandated by the SEC, FINRA and state regulators. Assist the CCO to respond to regulatory inquiries, examinations, and audit requests. Conduct risk assessments of eToro US entities for its MSB, digital asset, and BD business. Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.