Robinhood is democratizing access to America’s financial system. Since our public launch in 2015, we’ve cemented our position as the fastest-growing brokerage with millions of users and billions of dollars in transaction volume. Robinhood received recognition with the Apple Design Award, the Google Material Design Award, and named Fast Company’s 11th Most Innovative Company in the World.
We’re backed by top-tier investors such as DST Global, NEA, Index Ventures, Thrive Capital, Ribbit Capital, a16z, and GV, as well as individuals such as Jared Leto, Ashton Kutcher, John Legend, Snoop Dogg, and Nas.
About the Role
The Senior Manager will be responsible for daily Compliance work associated with department including compliance oversight in the following areas; customer complaints, regulatory reporting functional areas, internal communications and communications with the public, sales and marketing, cashiering, securities processing, and settlements. This includes hiring and managing all staff directly and indirectly through managers and team leaders. They will be responsible for managing regulatory risk, ensuring deadlines and service levels are met, and for compliance with Firm policy, SEC rules, and FINRA regulations. Candidate will be responsible for helping to develop and design departmental processes and guidelines.
As a Compliance Manager you will:
- Implementation and Execution of Written Supervisory Procedures to comply with all SEC and FINRA rules
- Review and process regulator customer complaint inquiries
- Review customer facing complaint workflows to ensure compliance
- Review Internal Communications and Communications w the Public
- Review and compliance approve Sales and Marketing material.
- Manage and resolve escalated issues
- Internal testing of compliance in functional areas such as new accounts, acats, cashiering, securities processing, and settlements and communicating findings to Firms Chief Compliance Officer.
Some things we consider critical to being a Compliance Manager:
- Bachelor’s Degree or equivalent work experience
- 5+ years working in a broker-dealer compliance and controls
- FINRA Series 7, 24 and 4 (or ability to obtain Series 4 within 90 days) licenses
- Strong understanding of brokerage operation and compliance functions
- Self-starter with ability to work independently
- Good communication and analytical skills
- Ability to effectively manage multiple priorities and adapt to a changing environment
Nice to haves:
- 8+ years of experience in a brokerage operations, compliance and controls
- Management experience over some aspect of brokerage operations, compliance and controls
Note to Recruiters and Placement Agencies: Robinhood does not accept unsolicited agency resumes. Please do not forward resumes to any person or email address at Robinhood prior to obtaining a signed agreement from Recruiting/HR. Robinhood is not liable for and will not pay placement fees for candidates submitted by any agency other than its approved recruitment partners. Furthermore, any resumes sent without an agreement in place will be considered your company's gift to Robinhood and may be forwarded to our recruiters for their attention.