Policies and Internal Controls Manager

Robinhood   •  

Lake Mary, FL

Industry: Finance & Insurance

  •  

8 - 10 years

Posted 34 days ago

About the Role

The Policies and Internal Controls Manager will design and maintain departmental processes and guidelines that are tailored to Robinhood's unique business. Partnering with Robinhood's cross-functional teams, this candidate will own the creation and maintenance of supervisory systems and desk operation procedures. This candidate will also execute a testing and controls program holding Robinhood team's accountable to their metrics and procedures. They will implement a system for ensuring the Policies and Internal Controls compliance function scales to support Robinhood's ambitious growth plans. Lastly, this candidate will champion a compliance culture cross-functionally.

As a Policies and Internal Controls Manager you will:

  • Develop and maintain Robinhood's written supervisory procedures and guidelines to keep pace with Robinhood's fast-changing product offerings and operational processes.
  • Implement systems and tools to facilitate maintaining procedures, conducting regulatory change management, and engaging cross-functional stakeholders.
  • Develop and implement a monitoring and testing program designed to ensure compliance with appropriate FINRA, SEC and state and federal regulations.
  • Work cross functionally to develop and organize standard operating procedures for Robinhood's various teams across engineering, product, customer experience and operations.
  • Monitor, research and interpret new rules and regulations to determine impact and update procedures as needed.
  • Build and mentor a team of compliance associates who will monitor and test Robinhood broker-dealer internal controls.
  • Assist in special projects as needed at the direction of Robinhood Financial's CCO.

Some things we consider critical to being a Policies and Internal Controls Manager:

  • Bachelor's Degree or equivalent work experience
  • 7+ years working in a broker-dealer compliance environment
  • Experience managing policies and procedures and/or conducting testing and controls in a financial services setting
  • 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.
  • Strong communication and analytical skills
  • Keen attention to detail and track record of successfully project managing cross-functional initiatives
  • Ability to effectively manage multiple priorities and adapt to changing environment
  • Series 7 and 24 or ability to obtain.