e Toro is the trading and investing platform that empowers users to invest, share, and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest simply and transparently. We have created an investment platform that is built around collaboration and investor education. On our platform, users can view other investors’ portfolios and statistics, and interact with them to exchange ideas, discuss strategies, and benefit from shared knowledge. We have 40 million registered users from 75 countries, and our platform is available in 20 languages. e Toro is an innovative, fast-growing business and is listed on Nasdaq in May 2025. We have over 1,500 employees across more than 10 offices around the globe, strategically positioned to serve the needs of users. You can find out more about e Toro here.

Role Summary

Come join our Award Winning Compliance team! The Compliance team are key members of e Toro USA’s team.

The Compliance Department provides service, support, and advice to promote the Firm’s growth and development while helping employees and the Firm meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity. This role will report into a Compliance Manager within the Compliance organization and assist with the day-to-day administration of the Firm’s compliance program for its money service (“MSB”), digital asset business, and broker dealer (“BD”) businesses. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.

**Location:** Remote, US

What you’ll be doing:

• Maintain and manage policies and procedures inventory, including ensuring regular and required reviews and approvals are completed in a timely manner

• Identify and track updates to the policies and procedures inventory, as well as ensure proper approvals have been obtained and recorded

• Conduct on-going e Toro associate surveillance, including but not limited to gifts and entertainment, private securities transactions, and political contributions

• Manage and maintain the required tracking, monitoring, responses, and applicable regulatory reporting for the Firm’s Complaints program

• Marketing advertising reviews

• Support compliance testing of the various lines of business

• Support compliance function all regulatory reporting requirements, such as permissible investment reports, call reports, and audited financial statements, etc. are met accurately and timely

• Manage and maintain e Toro’s Record Retention Policy and program

• Support performing due diligence for compliance vendors leveraged to support the MSB, digital asset, and broker dealer businesses, and produce reports to CCO

• Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements

• All other duties as assigned and special projects as necessary

• Bachelor’s degree required; advanced degree a plus.

• FINRA Series 7 and 24 required; Series 4 preferred

• 2+ years of experience in a compliance function and familiarity with Broker Dealer rules and regulations; knowledge or familiarity with money transmitter licenses a plus

• Strong understanding of capital markets and the broker dealer industry

• Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk

• Strong abilities in analytical thinking, problem solving, research, and time management

• Meticulous attention to detail and highly accurate

• A self-starter that enjoys a team-oriented approach

• Excellent communication (written and oral), presentation, and interpersonal skills

• Comfortable operating in a fast paced start-up

• Experience in monitoring, testing, and conducting risk assessments

• Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook)

• Significant level of trust, credibility, and diplomacy is required

What we offer:

• Salary range for this role is $70,000 - $80,000 per annum
• Comprehensive benefits package
• Cell phone stipend
• Daily lunch allowance
• Gym stipend
• 6% 401K match
• 100% insurance coverage for the employee
• Additional leave / recharge days