About the team:

The preferred location for this position is in or around Robinhood’s offices in Lake Mary, FL or Westlake, TX with in-office work capabilities, as may be required by management.

The Compliance Programs team is primarily responsible for policy and procedure administration as well as the organization and documentation of the Brokerage Supervisory System. This function also serves as a central point for remediation requiring coordination and update to process ownership and/or supervisory procedures. The Compliance Programs Senior Specialist must be familiar with an array of compliance subject areas such as policy and procedure governance, records management, GRC tools, monitoring, testing and controls.

What you’ll do day-to-day:

• Integrating as a trusted support partner for operations, product, engineering, FINOP, communications, customer experience, legal and risk
• Design, draft, review, publish and maintain the Brokerage Written Supervisory Procedures and supporting supervisory documentation
• Support and contribute to the maintenance and departmental standard operating procedures (SOPs) and supporting supervisory documentation
• Responsible for monitoring, communicating, and addressing regulatory change
• Assists with translating findings and deficiencies into action plans with stakeholders and provide recommendations to enhance governance, supervisory and operational practices
• Partner with Monitoring and Testing and Operational teams to track compliance testing findings from discovery to remediation
• Perform other duties as assigned

About you:

• Bachelor’s Degree in relevant field
• 5+ years Broker-Dealer experience and 2+ years of compliance experience
• Active FINRA Series 7
• Familiarity with regulations relevant to brokerage back and front office functions such as: Customer service, new account processes, records management, clearing functions, cashiering, securities processing, settlements, securities lending, Regulation T and the Securities Exchange Act of 1934
• Experience with 3120 and 3130 annual assessments
• Experience working with DTCC, OCC as well as FINRA and SEC regulators
• Motivation to be a self-starter with ability to work independently
• Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities

Bonus points:

• FINRA Series 24
• Experience working for a fintech company

The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan.

US Zone 1: $140000 - $165000
US Zone 2: $123000 - $145000
US Zone 3: $102000 - $120000