E*TRADE Financial Operations Analyst - Records Management in Jersey City, New Jersey


ETRADE 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, ETRADE 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 Operations Analyst for Records Management is a key role that will support tactical implementation and monitoring of the firm's Enterprise Records program. The Analyst will be responsible for day to day activities which include but are not limited to, inventory maintenance, records discovery, regulated record testing, retention schedule analysis and litigation and regulatory inquiry due diligence. The ideal candidate should have familiarity with broker-dealer, registered investment advisor and federally chartered bank recordkeeping requirements, such as SEC 17a-3, 17a-4, Investment Advisor 204-2, MSRB G-8, CFTC 1.31 and CFR Title 12 provisions.

  • Gain a thorough understanding of the processes & procedures supporting the Enterprise Records program

  • Identify operational gaps/inefficiencies and escalate accordingly to Dept. Management

  • Develop strong internal relationships with stakeholders

  • Handle escalated operational issues

  • Monitor third party vendor performance

  • Engage in risk mapping and modeling

  • Support Business Unit record testing

  • Assist with the development of educational modules and training aids

  • Assist with tracking and reporting of key department metrics

Minimum Professional and Technical Skills:

  • Possess familiarity with general compliance guidelines within the brokerage and banking industries

  • Able to lift up to 50 pounds

  • Strong knowledge of Outlook, Excel and Word

  • Attention to detail

  • Proficiency in analytical/problem solving skills

  • Efficient self motivation and time management

  • Sound decision making

  • Effective oral and written communication skills

Minimum Education, Certification, Training:

  • College degree or equivalent industry experience in related field

We offer a competitive and comprehensive benefits package. Please visit https://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.


Category: Operations

Location: Jersey City, NJ

Job ID: IRC128862

Posted Date: July 10, 2017