E*TRADE - NEX Associate, Oversight and Supervision (Atlanta, GA)

| Atlanta, GA
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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.

In 2020, ETRADE joined Morgan Stanley, signaling a major industry shift that brought Wall Street and Main Street together more than ever before. As ETRADE's parent company, Morgan Stanley plays an important role in expanding what we can offer to investors, though E*TRADE still functions as an independent entity.

RESPONSIBILITIES

Candidate will be responsible for the review of new investment account applications to ensure compliance with the Financial Industry Regulatory Authority (FINRA) rules and regulations, and the firm's policies and procedures. Candidate will review Option and Margin upgrade requests to determine customer eligibility. The candidate will identify, document, and resolve application exceptions and communicate with internal departments such as Customer Service, Fraud, Operations, Compliance, AML and Legal.
  • Review and approve New Brokerage Account applications based on firm and regulatory requirements. Application review includes review of supplemental documentation, suitability information, and margin and option trading eligibility.
  • Provide Principal approval to various account updates including Power of Attorney requests and changes in registration to existing accounts.
  • Candidate will be responsible for participating in the updates of departmental policies and procedures, as well as ensuring all internal and regulatory audits are compliant.
  • Candidate will be required to perform against key performance indicators and metrics.

REQUIREMENTS

Basic
  • Bachelor's degree or equivalent experience
  • 2+ years of experience in the retail brokerage industry
  • FINRA licenses: Series 7, Series 63, Series 24 and Series 4
  • Ability to review complex customer documentation and exercise high level of professional judgement while following firm and industry regulations for customer account establishment.
  • Must always consider the risk, regulatory, and Compliance environment that Principal Review tasks are executed within.
  • Must possess the ability to work in a production-oriented environment and meet tight processing deadlines.
  • Must be able to work on multiple initiatives simultaneously.
Preferred
  • Strong familiarity with the financial service industry and products offered
  • Excellent organizational skills, time management skills, and ability to prioritize time-sensitive requests
  • Excellent verbal and written communication skills
  • Must be able to work in a dynamic environment and thrive in situations that require new solutions
  • Ability to work overtime as needed to maintain required deadlines and service levels
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

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More Information on E*TRADE
E*TRADE operates in the Financial Services industry. The company is located in Sandy, UT and Arlington, VA. E*TRADE was founded in 1982. It has 10558 total employees. It offers perks and benefits such as Flexible Spending Account (FSA), Disability Insurance, Dental Benefits, Vision Benefits, Health Insurance Benefits and Life Insurance. To see all 27 open jobs at E*TRADE, click here.
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