About the company
Robinhood is democratizing our financial system. We offer commission-free* investing and trading. Investing in stocks, ETFs and options is offered through Robinhood Financial LLC. Cryptocurrency* trading is offered through Robinhood Crypto, LLC. Robinhood Financial, our broker-dealer, is a fast-growing brokerage firm with millions of users and billions of dollars in transaction volume. Robinhood* is based in Menlo Park, California, Lake Mary, Florida and London, UK.
*Relevant SEC and FINRA or other fees may still apply. Please see Robinhood’s Fee Schedule at https://about.Robinhood.com/legal. Robinhood Crypto is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not protected by either FDIC or SIPC insurance. Robinhood means Robinhood Markets, Inc. and its subsidiaries, including Robinhood Financial LLC (member SIPC), Robinhood Crypto, LLC, and Robinhood International, Ltd.
About the Role
The Senior Marketing Compliance Advisor will be responsible for reviewing, advising, analyzing, and Principal Reviewing - PR (approving) retail communications content (which includes advertising & marketing) to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, the associate will support the team in guiding internal customers (Marketing, Social, Communications, Public Relations (PR) and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.
As a Compliance Associate you will:
- Review, analyze, and advise internal customers on the adherence of communications with compliance and internal guidelines.
- Principal Review (approve) communications materials to ensure it meets regulatory and internal standards
- Guide internal customers and teammates on compliance for projects and deliverables
- Conduct internal Quality Assurance of the communications compliance review process and final approved marketing pieces
- Develop and implement process improvements to increase quality and scalability
Some things we consider critical to being a Compliance Associate:
- Bachelor’s Degree
- 3+ years working in compliance or a relevant function
- Self-starter with ability to work independently
- Ability to effectively manage multiple priorities and adapt to a changing environment
- Good written and verbal communication, strategic, negotiation skills and strong attention to detail
- General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication
- FINRA Series 7 and 24
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.