Job description


  • Entry level
  • No Education
  • Salary to negotiate
  • Alpharetta


Retail Oversight and Supervision SpecialistWho We Are 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.

About the Role OVERVEIW

The Retail Oversight & Supervision Specialist will be a registered associate with experience in the brokerage business. This position will perform designated supervisory duties for client facing teams. This will be under the supervision of the Senior Manager, Retail Oversight & Supervision.


- Build partnerships with Compliance, Legal, Risk and Operations
- Become an expert on policies and procedures for all lines of business
- Perform supervisory functions outlined in our policies and procedures for the client facing teams, which include, but not limited to the following:
- Associate registration and licensing
- System permissions
- Trade ticket/blotter reviews
- Record retention (electronic and hard copy)
- Transaction approval levels
- Disbursement, Credit, Debit Reviews
- Adherence to Written Supervisory Procedures (WSPs) and Policies and Procedures (P&Ps)
- Review of Registered Investment Advisors

- 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
- Liaison with external service providers and counterparties as necessary
- Participate and contribute to meetings and conference calls
- Support compliance with Investment Advisors Act of 1940 and FINRA 3010


- Bachelor's Degree
- Series 7, 63, 24
- 2+ years of experience in the Financial Services Industry
- Proficiency with MS Office


- 3+ years of experience in the Financial Services Industry
- Series 65 or 66
- 1+ years of professional experience working with LOB functions, Investment Advisors Act of 1940, FINRA 3010, and general compliance guidelines within the brokerage industry


- 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 in analytical/problem solving skills; ability to analyze a situation in an un-biased fashion
- Efficient self-motivation and time management
- Sound decision-making
- Effective oral and written communication skills

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.

  • retail