About the company
Robinhood is democratizing finance for all. 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, Denver, Colorado, and London, UK.
About the role
We are looking for a Trading Compliance Specialist to join our Compliance team at Robinhood. The successful candidate is one who loves working across many stakeholders to design solutions for complex compliance challenges. This role will be responsible for owning compliance-related, high impact projects that involve internal, cross-functional teams as well as developing an open and transparent relationship with our external regulators.
We expect this person to bring his/her personal area of subject matter expertise to provide leadership and a bias towards action while driving multiple initiatives. This position will be in our Menlo Park, CA office.
Your day-to-day will involve:
- Drive compliance-related projects by collaborating with internal and external parties to clearly identify, explain, and communicate each stakeholder’s project involvement, project goals, expectations, and tasks
- Review and improve internal control and governance frameworks across different areas of the business
- Identify issues and patterns while proposing and producing remediation initiatives
- Partner with internal stakeholders to update and ensure the accuracy of regulatory documentation, operational workflows, risk assessments, and regulatory correspondence to ensure they meet the high standards set by the team
- Review and improve electronic trading controls and governance frameworks
- Serve as Compliance team subject matter expert for equities and options trading strategies
- Participate in process improvement initiatives as proposed
Some things we consider critical for this role:
- Bachelor’s Degree
- 5+ years working in compliance or a relevant function
- Confident in understanding multiple business drivers and the root causes of trends
- Ability to drive and lead organizational change in a dynamic environment
- 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
- FINRA Series 7 or 24
- Experience with responding to regulatory inquiries and customer complaints
- Experience analyzing trading data and mapping systems to regulatory requirements
Feeling ready to give 100% to democratizing finance for all? 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.