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.
This position will be part of the E*TRADE Bank Compliance team, and will be responsible for compliance guidance and ongoing monitoring for TCA by E*TRADE, the bank's independent advisor custodian business.
- Provide consultation, guidance, and training regarding regulatory requirements
- Conduct regulatory risk assessments, which include ongoing requirement maintenance based on regulatory and business process change and the assessment and documentation of business and/or support function procedures and internal controls, along with overall risk rating by function
- Monitor and communicate regulatory amendments and the associated impact to Policies, Programs, and business unit processes
- Assist in examination process under the OCC, CFPB and Federal Reserve by preparing the business units, validating and organizing documentation, including direct interaction with the examination team, as appropriate
- Communicate and escalate issues, as appropriate, and provide periodic updates to Senior Management and/or Chief Compliance Officer
- Manage the implementation and ongoing maintenance of compliance policies and programs
- Review and approve marketing materials.
- Minimum five years of experience managing compliance-related activities for a federally regulated bank, broker-dealer or similar experience at a regulatory agency
- Highly knowledgeable in compliance requirements applicable to custody and retirement account operations, including:
- Settlement operations;
- Retirement account oversight; and
- Books and records
Highly knowledgeable in compliance requirements for deposits, including:
- Regulation DD, Truth in Savings Act;
- Regulation E, Electronic Funds Transfer Act; and
- Regulation CC, Expedited Funds Availability Act
- Excellent ability to interpret and communicate regulatory guidance
- Experience in developing and implementing compliance policies, programs, and procedures, including regulatory risk assessments
- Experience in managing, coordinating, and facilitating a successful regulatory agency examination
- Ability to influence people in other department and functions to achieve consensus on regulatory risk issues and appropriate mitigation
- Ability to effectively communicate with regulatory agency staff outside of the examination process
- Experience in creating and delivering presentations to Executive Management
- Experience in developing and delivering compliance communications to business unit and support function personnel
- Excellent analytical, communication (verbal and written), organizational, business acumen, and report writing skills
- Be results oriented and work with minimum supervision
- CRCM or other professional designations preferred
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.