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 Policies and Internal Controls Associate will design and maintain departmental processes and guidelines that are tailored to Robinhood’s unique business. Partnering with Robinhood’s cross-functional teams, this candidate will own the creation and maintenance of supervisory systems and desk operation procedures. This candidate will also execute a testing and controls program holding Robinhood team’s accountable to their metrics and procedures. They will implement a system for ensuring the Policies and Internal Controls compliance function scales to support Robinhood’s ambitious growth plans. Lastly, this candidate will champion a compliance culture cross-functionally.
In this role you will:
- Develop and maintain Robinhood’s written supervisory procedures and guidelines to keep pace with Robinhood’s fast-changing product offerings and operational processes.
- Implement systems and tools to facilitate maintaining procedures, conducting regulatory change management, and engaging cross-functional stakeholders.
- Develop and implement a monitoring and testing program designed to ensure compliance with appropriate FINRA, SEC and state and federal regulations.
- Work cross functionally to develop and organize standard operating procedures for Robinhood’s various teams across engineering, product, customer experience and operations.
- Monitor, research and interpret new rules and regulations to determine impact and update procedures as needed.
- Assist in special projects as needed at the direction of the Policies & Internal Controls Manager
Some things we consider critical for this role:
- Bachelor’s Degree or equivalent work experience.
- 3+ years working in a broker-dealer compliance environment.
- Experience managing policies and procedures and/or conducting testing and controls in a financial services setting.
- Ability to learn quickly, think critically and apply problem-solving skills to resolve issues and implement process improvements.
- Trustworthy, self-motivated and able to thrive in an entrepreneurial environment.
- Great communication and relationship management skills.
- A passion for Robinhood’s product and our mission to democratize access to America’s Financial System.
- Strong communication and analytical skills.
- Keen attention to detail and track record of successfully project managing cross-functional initiatives.
- Ability to effectively manage multiple priorities and adapt to changing environment
- Series 7 and 24 or ability to obtain.
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.