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
We are building a financial compliance team that will be responsible for establishing and maintaining the company’s financial and accounting compliance with the relevant compliance framework. As a team member, you will be responsible for evaluating risks, processes and controls; identifying and mitigating control gaps; partnering with business and IT teams to support the company’s growth and expansion; and ensuring the company’s compliance over financial reporting (ie. SOX 404) and certain other regulatory requirements.
This position is located in Menlo Park, CA and reports directly to the Senior Manager of Financial Compliance. We’re looking for senior associate with industry experience with public companies, broker dealers, banking or other financial services companies.
- Participate in the initiative to establish and support the company’s SOX compliance framework including performing risk assessment, documenting walkthroughs and conducting tests of design and operational effectiveness for key business and IT processes and controls
- Assist in the annual and quarterly SOX 404 scoping, risk assessment, controls mapping and changes identification process
- Proactively interact with business and IT teams to gather information, identify gaps, resolve issues, and make recommendations for business and process improvements
- Assess new processes, or changes to existing processes to identify financial and operational risks before launch, providing recommendations for improvement
- Advocate for continuous improvement in our system of internal controls
- Bachelor’s degree in a relevant field of study
- 4+ years of experience, including financial audit/attestation preferably in a Big Four firm or a public company’s internal audit/SOX function or a combination thereof
- Knowledge and experience in Internal Control over Financial Reporting, SOX 404 framework, and the corresponding documentation and testing
- Highly motivated and proactive with strong project management, organizational, oral and written communication skills
- Ability to partner with business and technology leaders to identify optimal solutions that resolve business process or technology control gaps
- Master’s degree in a relevant field of study
- Familiarity with broker dealer industry and the Internal Control over Compliance (ICOC) framework
- CPA, CIA and CISA certifications