Internal Audit Senior Associate

About the team + role

The Internal Audit function provides independent, objective, reliable, valued and timely assurance regarding the effectiveness of governance, risk management, and internal controls that mitigate current and emerging risks and help strengthen the internal control's ecosystem.

The Internal Audit team at Robinhood provides governance and oversight for the Company and across its regulated entities. The function also facilitates communication of risk management information between the regulated entities’ RHM leadership, and the Company’s Board of Directors and its Committees, strengthening the Company’s risk management, internal controls, and governance.

Robinhood Markets (RHM) is the parent company of various lines of business, including Brokerage, Crypto, and Cash services. We are looking for a Senior Associate to join the Internal Audit Team at Robinhood.

The role is located in the office location(s) listed on the top of this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

What you’ll do

As an Internal Audit Senior Associate, you will partner with IA leaders to identify areas of risk, document and test controls and make recommendations that support improvements to the control environment. In this role, you will: 

• Support the execution of audits in the areas of Compliance & Operations within our broker-dealers, registered investment advisor, and derivatives businesses in line with the Internal Audit plan
• Conduct audit procedures incl. walkthroughs, testing of controls and substantive testing procedures
• Help evaluate adequacy and efficiency of policies, procedures, systems and internal controls
• Build collaborative relationships with business and cross-functional partners
• Interact with business teams to understand processes and controls, tackle problems, and make recommendations for process improvements
• Interact and collaborate with Internal Audit team members in working towards departmental goals.

What you bring

• Bachelor’s degree in a relevant field of study
• 3+ years of experience in financial services industry
• 2+ years of experience working in compliance or operations space
• Experience evaluating the design, effectiveness and regulatory requirements of processes and controls in the Compliance space within a bank, broker-dealer, registered investment advisor similar financial institutions
• Strong focus on quality and attention to details
• Strong communication skills
• Strong self-starter with ability to work independently and take initiatives
• Ability to thrive in fast-paced environments, work with ambiguity and adapt quickly to changes

Bonus points:

• Master’s degree
• Big 4 audit or consulting experience
• SIE, Series 7, or Series 24 and/ or Series 99 License, CIA, CAMS and/or CFE certifications

What we offer

• Market competitive and pay equity-focused compensation structure
• 100% paid health insurance for employees with 90% coverage for dependents
• Annual lifestyle wallet for personal wellness, learning and development, and more!
• Lifetime maximum benefit for family forming and fertility benefits
• Dedicated mental health support for employees and eligible dependents
• Generous time away including company holidays, paid time off, sick time, parental leave, and more!
• Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits