Robinhood is democratizing our financial system. With customers at the heart of our decisions, Robinhood is lowering barriers, removing fees, and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.
Robinhood is a fast-growing company and was recognized as a CNBC Disruptor 50 and a LinkedIn Top Startup in 2019. We’re continuing to grow and are looking for incredible talent that can help us achieve our mission.
Robinhood is headquartered in Menlo Park, California, with offices in Lake Mary, Florida, and London, UK.
About the role
This regulatory inquiries counsel will be responsible for drafting and supporting the responses to regulatory inquiries and operating at a high level. Robinhood’s legal department is looking for an attorney with experience in responding to regulatory inquiries regarding a wide variety of topics including: compliance risk and vulnerabilities, firm processes, procedures, and controls, and other queries resulting from regulatory exams and queries. This person will be responsible for helping to ensure the Firm’s compliance with Firm policy, and SEC and FINRA regulations.
Your day-to-day will involve:
Supporting compliance staff interaction with multiple regulators including SEC and FINRA
Responding to legal queries and helping craft Robinhood’s response to regulatory exams, cause exams and routine inquiries
Working closely with compliance counterparts to solve legal escalations
Establishing and implementing legal oversight for all productions to regulatory inquiry responses and exam interaction
Redesigning and implementing legal processes to support firm-wide compliance procedures and improve quality and scalability
Providing legal support and oversight over Robinhood’s customer complaints process and 4530 report filing
Some things we consider critical for this role:
10+ years working in a broker-dealer with a focus in examinations and regulatory inquiries
Familiarity with regulations relevant to broker-dealers including: Securities Exchange Act of 1934, Regulation T, FINRA Rules
Expertise in navigating financial regulatory audit/examination processes
Strong project management skills
Excellent written and oral communication skills
Keen attention to detail and organization
Passion for working and learning in a fast-growing company
Feeling ready to give 100% to democratizing our financial system? We’d love to have you apply, even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we’re looking for people invigorated by our mission, not just those who simply check off all the boxes.