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

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 the Chief Compliance Officer’s (“CCO”) organization and assist with the day-to-day administration of the Firm’s compliance program for its money service (“MSB”) 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.

What you’ll be doing:

• Manage 4530 reporting, complaints processing, and regulatory complaint responses

• Manage projects related to examination and audit remediation. Track and coordinate development of management action plans for remediation to address compliance testing results and any findings/recommendations that result from audits and examinations of the MSB, digital asset, and BD businesses

• Lead coordination of project implementation efforts related to regulatory change management

• Assist the CCO to respond to regulatory inquiries, examinations, and audit requests

• Support key compliance initiatives and projects such as vendor management, affiliate marketing, and others

• Provide administrative support to the CCO to execute on the Compliance governance, including multiple risk and compliance committees, training, and Board of Director meetings

• 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

• Support training and continuing education analysis and execution, including annual needs analysis, annual compliance meeting, firm element, and regulatory element requirements

• Ensure policies and procedures are updated in a timely manner for appropriate maintenance and Firm distribution

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

• Series 7 and 24 required; Series 4 preferred or willing to obtain within 180 days

• 5+ 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 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, Planner, and Outlook)

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

What we offer:

• Salary range for this role is $110,000 - 130,000 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
• e Toro trading credits

Location & Work Style: Hybrid mode of 2-3 days per week in office. Currently in Hoboken, NJ but moving to new offices soon in NYC metropolitan area.