Compliance Manager

Robinhood   •  

Lake Mary, FL

Industry: Accounting, Finance & Insurance

  •  

5 - 7 years

Posted 52 days ago

Robinhood is changing the way America invests. We believe our financial system should work for everyone and not just a few. We offer commission-free trading for stocks, ETFs, options, and cryptocurrencies—all in one, user-friendly platform. Since our public launch in 2015, we’ve enabled millions of people to participate in the markets, cementing us as the fastest-growing brokerage ever.

About the Role

The Compliance Manager will be responsible for designing and executing Robinhood Securities’ compliance function so it scales to support Robinhood’s ambitious growth plans. The candidate will design, implement and iterate on our compliance program overseeing the following brokerage back-office areas; cashiering, securities processing, settlements, and reporting functional areas. The candidate will also oversee processes including customer complaints, communications and marketing. They will be responsible for managing regulatory risk and for compliance with Firm policy, SEC rules, and FINRA regulations. The candidate will also work cross-functionally to champion a compliant culture and business.

As a Compliance Manager you'll:

  • Design and test internal compliance controls in areas such as new accounts, acats, cashiering, securities processing, and settlements.
  • Execute Robinhood Securities’ back office related Written Supervisory Procedures.
  • Lead the team in processing Robinhood Securities’ regulatory inquiries and customer complaints.
  • Manage and resolve escalated issues from product, support and operations teams.
  • Coordinate compliance roles and responsibilities with the enterprise compliance team.
  • Review Internal Communications, Communications w the Public and Sales and Marketing material.

Some things we consider critical for the role:

  • Ability to learn quickly, think critically and apply problem-solving skills to resolve issues and implement process improvements.
  • Trustworthy, self-motivated and able to thrive in an entrepreneurial environment.
  • Great communication and relationship management skills.
  • A passion for Robinhood’s product and our mission to democratize access to America’s Financial System.
  • Bachelor’s degree from an accredited institution.
  • FINRASeries 7, 24 and 4 (or ability to obtain Series 4 within 90 days) licenses.
  • 5+ years working in back office brokerage operations and/or compliance.

Some things we consider a plus for the role:

  • Experience working with regulators and/or completing a ROOR exam