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.