- Link: Compliance Officer Scottsdale from eToro
- Dates: All year 2023
- Job location: Scottsdale, Arizona.
- Job description: Maintain and manage policies and procedures inventory, including ensuring regular and required reviews and approvals are completed. Identify and track updates to the policies and procedures inventory, as well as ensure proper approvals have been obtained and recorded. Manage and maintain the third party marketing affiliate onboarding program and applicable supervision in accordance with US regularly guidance and in coordination with eToro global partners. Manage and maintain eToro’s Record Retention Policy and program. Support performing due diligence for compliance vendors leveraged. Conduct on-going eToro associate surveillance. Track and coordinate development of management action plans for remediation to address compliance testing results and any findings/recommendations that result from audits and examinations. Test and validate remediation to ensure design effectiveness. 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. Manage and maintain the required tracking, monitoring, responses, and applicable regulatory reporting for the Firm’s Complaints program. Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements.
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