About the company:
Robinhood is democratizing our financial system. We offer commission-free* investing and trading. Investing in stocks, ETFs and options is offered through Robinhood Financial LLC. Cryptocurrency* trading is offered through Robinhood Crypto, LLC. Robinhood Financial, our broker-dealer, is a fast-growing brokerage firm with millions of users and billions of dollars in transaction volume. Robinhood* is based in Menlo Park, California, Lake Mary, Florida and London, UK.
*Relevant SEC and FINRA or other fees may still apply. Please see Robinhood’s Fee Schedule at https://about.Robinhood.com/legal. Robinhood Crypto is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not protected by either FDIC or SIPC insurance. Robinhood means Robinhood Markets, Inc. and its subsidiaries, including Robinhood Financial LLC (member SIPC), Robinhood Crypto, LLC, and Robinhood International, Ltd.
About the role:
The Compliance Manager will be responsible for overseeing core compliance functions such as registration, onboarding and licensing examinations and the processing of levies and garnishment requests. The Manager will also conduct reviews of Robinhood’s internal communications and facilitate reviews of employee annual certifications and disclosures.
A critical role, this position will report directly to Robinhood’s Chief Compliance Officer and will serve as the AML Officer for Robinhood’s introducing broker-dealer.
In this role you will:
- Oversee Robinhood’s Registration and Onboarding functions
- Oversee Robinhood’s Levies and Garnishment process
- Serve as the compliance subject matter expert to Robinhood’s customer experience team
- Serve as the AML officer for Robinhood’s introducing broker-dealer
- 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
- 4+ years working in broker-dealer compliance and controls
- FINRA Series 7, 24 licenses
- Strong understanding of brokerage, registration and compliance functions
- Self-starter with ability to work independently
- Good communication and analytical skills
- High emotional intelligence
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.