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
The Compliance Manager will be responsible for overseeing core compliance functions such as surveillance of internal communications including appropriate escalation and management reporting and ensuring all data, information and documentation is thoroughly assessed within the regulatory requirements. Additionally, the manager will be responsible for processing of levies and garnishment requests including filing, maintaining and archiving all documentation. The Manager will also facilitate reviews of employee annual certifications and disclosures. The Compliance Manager will work collaboratively with both internal and external partners.
A critical role, this position will report directly to Robinhood’s Chief Compliance Officer.
Your day-to-day will involve:
Oversee Robinhood’s Levies and Garnishment process
Serve as the compliance subject matter expert to Robinhood’s customer experience team
Review internal communication such as email, slack and instant messages via firm’s record archiving systems and effectively manage outside vendor relationships
Conduct Code of Ethics review, certifications and disclosures
Provide overall support on special projects as designated by the Chief Compliance Officer
Some things we consider critical for this role:
Bachelor’s Degree or equivalent work experience
7+ years working in broker-dealer compliance and controls
Strong understanding of brokerage and compliance functions
Self-starter with ability to work independently
Excellent written and oral communication skills
Excellent analytical and problem-solving skills
High emotional intelligence
Proven ability to multi-task and effectively prioritize in a fast-paced environment
Passion for working and learning in a fast-growing company
FINRA Series 7, 24 licenses
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.