Robinhood is democratizing our financial system. We offer commission-free investing in stocks, ETFs, options, and cryptocurrencies. Robinhood Financial, our broker-dealer, is a fast-growing brokerage with millions of users and billions of dollars in transaction volume. Robinhood has received the Apple Design Award (2015), the Google Play Award for Best Use of Material Design (2016), and was named Fast Company’s 11th Most Innovative Company in the world (2016). We’re backed with $539 million in capital from top-tier investors such as DST Global, NEA, Index Ventures, Thrive Capital, Sequoia, and KPCB, and were most recently valued at $5.6 billion. Robinhood is based in Menlo Park, California, and Lake Mary, Florida.
About the Role
The Communications Compliance Associate 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.