Max Trujillo
Compliance Manager - Testing and Remediation @etoro
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WORK HISTORY
Compliance Manager - Testing and Remediation @etoro
Scottsdale, AZ, US
Actively manage the tracking of all examination and audit remediation, including coordination with relevant business partners, prioritization, development of management action plans, and providing regular status updates to senior leadership- Provide general support for regulatory examinations and audits- Conduct regular compliance testing of the business in accordance with FINRA Rule 3110, in addition to new products, eToro’s vendors, and regulatory reporting- Conduct due diligence of new vendors as part of the onboarding process and manage the end-of-life cycle when a vendor is no longer needed- Support the due diligence process and ongoing content review of new and current affiliate/referral partners- Develop and coordinate the completion of the firm’s continuing education plan for the broker-dealer and MSB- Review and approve marketing material for the broker-dealer and MSB- Assist the CCO and other departments with ad-hoc projects.
EDUCATION
Grand Canyon University
Bachelor of Arts - BA, Communication, General
Grand Canyon University
Bachelor of Science - BS, Finance and Economics
ABOUT MAX TRUJILLO
Dependable employee seeking opportunity to expand skills and contribute to company success. Considered hardworking, ethical, and detail-oriented.
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