Retail Oversight Supervision Specialist


E*TRADE is a leading financial services company and a pioneer in the online brokerage industry. Having executed the first-ever electronic trade by an individual investor more than 30 years ago, the company has long been at the forefront of the digital revolution, offering easy-to-use solutions for individual investors and stock participants. Founded on the principle of innovation and determined to level the playing field for individual investors, E*TRADE delivers digital platforms, tools, and professional assistance to help investors and traders meet their near-and long-term investing goals. The Company provides these services both online and through its network of customer service representatives and financial consultants - over the phone at two national branches and in-person at 30 E*TRADE branches.

The Retail Oversight & Supervision Specialist will be a registered associate with experience in the brokerage business. This position will perform designated supervisory duties for the Customer Service and Premium teams to ensure adherence to policies and procedures. This will be under the supervision of the Senior Manager, Retail Oversight & Supervision.

* Build partnerships with Compliance, IAD team, and our external auditing firm, Deloitte.

* Become an expert on policies and procedures for all lines of business.

* Handle records management for service and premium teams.

* Perform supervisory functions outlined in our policies and procedures for the service and premium teams, which include, but is not limited to the following:

o Associate registration and licensing

o System permissions

o Trade ticket/blotter reviews

o Record retention (electronic and hard copy),

o Transaction approval levels

o Disbursement, Credit, Debit Reviews

o Adherence to Written Supervisory Procedures (WSPs) and Policies and Procedures (P&Ps).

* Proactively work to stay abreast of changes to regulatory supervisory requirements.

* Provide support and documentation for SOX and SSAE-16 testing and audit reviews.

* Help to identify operational gaps/inefficiencies and escalate accordingly.Help to establish process improvements and efficiencies.

* Strong understanding and familiarity with LOB functions, and general compliance guidelines within the brokerage industries.

* Support compliance with Investment Advisors Act of 1940 and FINRA 3010

* Solid understanding of the rules, practices and function of margin in financial service environment

* Ability to multi-task with strong attention to detail

* Strong organizational skills

* Proficiency with MS Office, including, Outlook, Excel, Power Point, and Word

* Proficiency in analytical/problem solving skills ability to analyze a situation in an un-biased fashion.

* Efficient self-motivation and time management

* Participate and contribute to meetings and conference calls

* Sound decision-making

* Effective oral and written communication skills

* Liaison with external service providers and counterparties as necessary.

* College Degree

* 2 years industry experience (3 years preferred)

* Series 7, 63, 24 (65 or 66 preferred)


We offer a competitive and comprehensive benefits package. Please visit 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.