Compliance Senior Specialist
Robinhood•3d ago
United StatesHybrid$89K–$135KFull-timeMid Level5+ yrs exp
H-1B sponsor
Top focus
Compliance Officer
- Join us in building the future of finance.
- Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.
- About the team + role
- The Senior Compliance Specialist will help create and champion a culture of compliance for a new investment advisory business unit at the pre-launch and development stage. As a primary point of contact for this business, you will coordinate with teams across the broader Robinhood spectrum to identify and solve problems, research unique issues
- collaborate to achieve a successful launch. You'll help set the path for a customer-friendly, uniquely compelling, regulatorily compliant advisory product. You will be expected to understand the requirements of a fiduciary’s duty to serve clients and have experience documenting best practices and procedures, creating surveillance tools, responding to regulatory requests and required filings
- advancing a compliance program forward in response to new rules and requirements.
- This role is based in our New York, NY, Chicago, IL, Denver, CO, and Lake Mary, FL offices, with in-person attendance expected at least 3 days per week.
- What you’ll do
- Develop, administer, and operationalize the regulatory framework around a new business unit, including implementation of supervisory and operational policies and procedures.
- Be a primary resource for operations, customer service and business teams, and across Robinhood’s affiliated companies
- Conduct internal testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate
- Research and respond to regulatory inquiries, exams and audits, complaint resolution, and customer inquiries
- Development and delivery of training program, in coordination with broader continuing education and compliance training programs
- Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
- Review, approval, and tracking of marketing and advertisements for the RIA as well as co-branded content.
- Build essential workflows that achieve requirements including annual notifications, best execution review, testing for books and record retention, establish proper information barriers
- identify conflicts of interest.
- What you bring
- 5-10 years compliance experience with an investment adviser and broker-dealer
- Deep understanding of SEC Investment Advisers ‘40 Act, FINRA, and ERISA rules and regulations
- Demonstrated written, verbal
- presentation skills to communicate ideas and information effectively in a clear manner whether directly to co-workers and partners, leadership teams and committee members
- outside vendors and regulators.
- Exceptional organizational skills with an ability to think critically, solve problems and implement process improvements
- Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish line
- A passion for Robinhood’s product, and our mission to democratize for all access to America’s Financial System
- Bonus points
- Series 7 and 65/66
- Previous experience at a financial services regulator (SEC or FINRA)
- Principal securities licenses (Series 24, 9/10, 4) and certifications (CRCP, CAMS)
- In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.
- Base pay for the successful applicant will depend on a variety of job-related factors
- may include education, training, experience, location, business needs
- market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.
- Base
- $115,000 — $135,000 USD
- Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)
- $101,000 — $119,000 USD
- Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)
- $89,000 — $105,000 USD
- Click here to learn more about our Total Rewards, which vary by region and entity.
- If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.
- Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request
- complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives
- experiences so everyone can do their best. Please review the Privacy Policy for your country of application.
Required skills
complianceSECFINRAERISAauditsrisk assessmenttrainingsurveillanceregulatory inquiries