Compliance Manager - FTC

Description

Compliance Manager - FTC (4-6 months)

We are looking for an experienced Compliance Specialist to cover maternity leave. If you're interested in an exciting short-term project with a global leading social investment platform, to oversee the USA Compliance function across governance, AML & Regulatory, then we'd love to hear from you!

eToro is the trading and investing platform that empowers users to invest, share and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest in a simple and transparent way. We have created an investment platform that is built around collaboration and investor education. On our platform, users can view other investors’ portfolios and statistics, and interact with them to exchange ideas, discuss strategies and benefit from shared knowledge. We have over 38 million registered users from 100 countries and our platform is available in 20 languages. We are a fast growing business with over 1,500 employees across 13 offices around the globe, strategically positioned to serve the needs of users. You can find out more about eToro here.

Responsibilities:

• Oversee teams responsible for key compliance functions, including compliance testing, governance, reporting, policies and procedures, examinations, complaints, registration, and training.
• Drive and support major compliance initiatives and projects such as audit and examination remediation, vendor management, affiliate marketing oversight, and related efforts.
• Provide administrative and operational support to the Chief Compliance Officer (CCO) in executing the Compliance Governance Program, including coordination of risk and compliance committees, employee training, and Board of Directors meetings.
• Manage regulatory reporting (e.g., 4530), complaint intake and resolution processes, and responses to regulatory complaints.
• Conduct due diligence on compliance vendors supporting Money Services Business (MSB), digital asset, and broker-dealer operations, and produce evaluation reports for the CCO.
• Assist the CCO in preparing responses to regulatory inquiries, examinations, and audits.
• Coordinate and track the development of management action plans to remediate compliance testing findings and audit/examination recommendations across MSB, digital asset, and broker-dealer operations.
• Identify compliance gaps and recommend improvements to business unit procedures to enhance regulatory adherence and mitigate risk.

Requirements

• Bachelor’s degree required; advanced degree preferred.
• FINRA Series 7 and 24 licenses required; Series 4 preferred.
• Minimum of 5 years of experience in a compliance function, with a strong understanding of broker-dealer regulations; familiarity with money transmitter licensing is a plus.
• Deep knowledge of the broker-dealer industry, including applicable rules and regulatory frameworks.
• Proven ability to assess compliance and business risks, and to implement practical and effective solutions.
• Strong analytical, research, and problem-solving skills, with excellent time management capabilities.
• High attention to detail and a commitment to accuracy.
• Self-motivated, collaborative team player with the ability to thrive in a fast-paced, start-up environment.
• Excellent written and verbal communication skills, including presentation and interpersonal abilities.
• Experience conducting compliance monitoring, testing, and risk assessments.
• Demonstrated integrity, discretion, and sound judgment; a high level of trust and professionalism is essential.

What we offer:

• Salary range for this role is $110,000 - 145,000 per annum
• Comprehensive benefits package
• Cell phone stipend
• Daily lunch allowance
• Gym stipend
• 6% 401K match
• 100% insurance coverage for the employee
• Additional leave / recharge days
• eToro trading credits

Location:

Work arrangement is either fully remote, or if they are in the Hoboken or NY area they would be hybrid - office and home. So maybe this is better text:

This position offers a hybrid work model, with in-office attendance in Hoboken, NJ required at least once a week if located in that area. Alternatively, this role may be based in any of the following locations as fully remote:

• Austin, Texas
• Washington, D.C. metropolitan area
• Other locations may be considered