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 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.
This position will report directly to Robinhood’s Chief Compliance Officer and will serve as the AML Officer for Robinhood’s introducing broker-dealer.
Your day-to-day will involve:
Overseeing Robinhood’s Registration and Onboarding functions
Overseeing Robinhood’s Levies and Garnishment process
Serving as the compliance subject matter expert to Robinhood’s customer experience team
Serving as the AML officer for Robinhood’s introducing broker-dealer
Reviewing internal communication such as email, slack and instant messages via firm’s record archiving systems and effectively manage outside vendor relationships
Conducting Code of Ethics review, certifications and disclosures
Providing 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, 10+ years of experience in compliance overall
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
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.