Associate, Compliance Analyst

Company: eToro (Europe) Ltd.
Location: Hoboken
Posted on: May 9, 2025

Job Description:

Associate, Compliance AnalysteToro is a trading and investing platform that empowers users to invest, share, and learn. Founded in 2007, our vision is a world where everyone can trade and invest simply and transparently. We have created a platform centered around collaboration and investor education, allowing users to view other investors' portfolios, share ideas, discuss strategies, and benefit from shared knowledge. With over 38 million registered users from 100 countries and a platform available in 20 languages, eToro is a rapidly growing business with over 1,500 employees across 13 offices worldwide. Learn more about eToro .We are excited to announce that we are looking for an Associate, Compliance Analyst to join our team!Responsibilities:

• Maintain and manage policies and procedures inventory, ensuring regular reviews and approvals are completed timely.
• Identify and track updates to policies and procedures, ensuring proper approvals are recorded.
• Manage and maintain eToro's Record Retention Policy and program.
• Support due diligence for compliance vendors supporting the MSB, digital asset, and broker-dealer businesses, and produce reports for the Manager and Chief Compliance Officer (CCO).
• Conduct ongoing monitoring of firmwide vendors.
• Perform ongoing surveillance of eToro associates, including trading activity, gifts and entertainment, and private securities transactions.
• Coordinate development of management action plans for remediation based on compliance testing and audit findings/recommendations.
• Test and validate remediation efforts to ensure effectiveness.
• Maintain compliance and corporate files as mandated by SEC, FINRA, and state regulators.
• Assist the Manager or CCO with responses to regulatory inquiries, examinations, and audits.
• Maintain regulatory filings such as Form BR, U4, U5, Form CRS, and Form BD.
• Manage and execute the firm's annual compliance training, including needs analysis, meetings, and regulatory and firm-specific training programs.
• Oversee the firm's complaints program, including tracking, monitoring, responses, and regulatory reporting.
• Identify and recommend procedural changes to address compliance gaps and improve adherence to regulations and policies.
• Perform other duties and special projects as assigned, including trade surveillance, AML alerts review, and regulatory change management.
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Keywords: eToro (Europe) Ltd., East Brunswick , Associate, Compliance Analyst, Professions , Hoboken, New Jersey