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 over two million 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 surveillance and controls and work associated with department including managing market manipulation oversight, regulatory reporting functional areas, and internal controls and testing functional areas. 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 Surveillance Controls Manager you will:
- Implementation and Execution of Written Supervisory Procedures to comply with all SEC and FINRA rules
- Review and analysis of daily transaction activity, documenting results and communicating findings to Firms Chief Compliance Officer.
- Identifying and escalating suspicious activity
- Investigate and respond to Market Regulation inquires
- Compliance and controls with best execution and trade reporting
Some things we consider critical to being a Surveillance Controls Manager:
- Bachelor’s Degree or equivalent work experience
- 5+ years working in a broker-dealer compliance and controls
- FINRA Series 7, 24 and 57 licenses (or ability to obtain the series 57 within 90 days)
- 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.