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 Surveillance Associate will be responsible for designing and implementing processes and controls. This includes monitoring exception reports to identify market manipulation and suspicious activity as well as drafting responses to regulatory inquiries. The associate will support the team in monitoring customer behavior to ensure we meet our requirements under Firm policy, BSA, FinCEN guidance, SEC rules, and FINRA regulations.
In this role you will:
- Perform trade surveillance reports, investigate anomalies and make determinations
- Provide order and trade data to regulators upon request
- Manage and resolve escalated issues from cross-functional teams
- Develop and implement process improvements to increase quality and scalability
- Investigate and draft responses to regulatory inquiries
Some things we consider critical for this role:
- Bachelor’s Degree
- 3+ years working in compliance or a relevant function
- General understanding of brokerage operation and compliance functions
- Self-starter with ability to work independently
- Good written and verbal communication, analytical skills and strong attention to detail
- Ability to effectively manage multiple priorities and adapt to a changing environment
Some things that would be amazing to have for this role:
- FINRA Series 7 and 24
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.