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
This AML Operations Manager will be responsible for managing AML alerts and escalations to investigations. This manager will also develop new hire and ongoing training for AML analysts. This person will be responsible for ensuring the Firm’s compliance with Firm policy, SEC, FINRA and related regulations.
As an AML Manager you will:
- Manage AML Operations: daily workflow, operational queues, and metrics
- Manage, develop, train, and lead a team of analysts and contractors
- Escalate potential findings to management in a timely manner
- Conduct, review, and evaluate alert reviews, investigations and findings using AML/KYC/CIP knowledge
- Act as a Subject Matter Expert (SME) in AML; provide direction and assistance on AML alert dispositions
Some things we consider critical to succeeding in this role:
- Bachelor’s Degree
- 5+ years working in regulatory compliance/ AML investigations, preferably in a management role
- Familiarity with regulations relevant to broker-dealers including: Securities Exchange Act of 1934, Regulation T, Bank Secrecy Act
- Strong operations background, writing and analytical skills
- Excellent written and oral communication skills
- Keen attention to detail, quality, performance metrics and process improvements
- Self-starter with ability to work independently
- Ability to effectively manage multiple priorities and adapt to a changing environment
Nice to haves:
- FINRA Series 7
- Masters degree
- SQL, VBA or basic programming skills
- Management experience over some aspect of brokerage operations, compliance and controls
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.