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
Come and help us democratize access to financial systems. Robinhood’s legal department is looking for an attorney with experience in securities and broker-dealer regulatory and compliance issues who is excited to work at the intersection of regulation, technology, and finance.
Joining our small legal team requires an autodidactic mindset as you tackle legal problems from a variety of legal disciplines: securities law, financial services regulation, contract law, immigration, IP, employment, etc.
As our Regulatory Counsel, you’ll:
- Navigate complex regulatory frameworks to design innovative financial products and services.
- Serve as primary drafter for responses to regulatory inquiries from the SEC, FINRA, and other regulatory authorities.
- Identify and draft necessary changes to the firm’s systems and procedures to meet the requirements of new rules/regulations.
- Draft agreements, policies and procedures, disclosures, account documentation and website materials.
- Monitor SEC/FINRA and SRO rule developments and make resulting recommendations.
- Research securities and brokerage questions and provide legal analysis and recommendations.
Some things we consider critical to being our Regulatory Counsel:
- Member of a US State Bar
- JD from an ABA accredited law school
- 3+ years of work experience
- Expertise in researching, applying, and communicating legal requirements in the financial services space in a regulatory context
- Expertise in navigating financial regulatory audit/examination processes
- Knowledge or expertise in regulations relevant to broker-dealers including: Securities Exchange Act of 1934, Regulation T, Bank Secrecy Act
- Excellent written and oral communication skills
- Keen attention to detail and organization
- Strong project management and analytical skills
- Ability to learn new software and cloud-based tools as needed (e.g. Docusign, Google apps, file management tools)
- 3-8 years of work experience
- At least one of the following work experiences:
- Top law firms or state or federal clerkships
- Financial regulator at the state or federal level
- Prominent legal/examination/enforcement groups within a regulator (SEC, FINRA, CFTC)
- In-house legal departments with a focus on regulatory relations and/or compliance
- Legal education: degree from top law school, recognized academic achievement in law school, or law review experience
- Expertise in financial regulatory licensing processes
- Knowledge or expertise in cybersecurity and privacy
- Eager to learn about new and emerging technologies
Note to Recruiters and Placement Agencies: Robinhood does not accept unsolicited agency resumes. Robinhood does not pay placement fees for candidates submitted by any agency other than its approved partners.