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 Compliance Coordinator will be responsible for designing and scaling Robinhood’s registration, onboarding and continuous education compliance programs. This includes collecting and organizing compliance documentation, implementing a licensing and registration program, and implementing a compliance training program. This candidate will also champion a compliance culture cross-functionally.
As a Compliance Coordinator you will:
- Ensure proper documentation, record-keeping and organization of the Firm’s books and records.
- Implement a licensing and registration program which includes new hire fingerprinting, background checks, filing U4s and U5s, monitoring employee test taking etc.
- Create, implement and iterate on a continuous learning compliance program for new hires, licensed representatives and cross-functional departments.
- Provide overall support on special projects as designated by the Chief Compliance Officer.
- Develop and implement process improvements to increase quality and scalability.
Some things we consider critical to being a Compliance Coordinator:
- Bachelor’s Degree
- 3+ years working in compliance or a relevant function in financial services
- General understanding of brokerage operation and compliance functions
- Self-starter with ability to work independently
- Strong attention to detail, effective organization skills, and strong written and verbal communication
- Ability to effectively manage multiple priorities and adapt to a changing environment
- Familiarity with FINRA’s Web CRD system
- 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.