About the company

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:

  • Law Degree
  • 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

Bonus points: 

  • 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.

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