About the team:

The preferred location for this position is in or around Robinhood’s offices in Lake Mary, FL or Westlake, TX, or Chicago, IL, or Denver, CO with in-office work capabilities, as may be required by management, but remote work in limited geographies within the U.S. may be considered. Check with your recruiter for more information.

Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and the Regulatory Response team within RHF Compliance focuses on fostering positive relationships with our regulators, and serves as their primary point of contact for broker/dealer regulatory matters related to RHF’s business. The team is responsible for coordinating, managing and responding to inquiries and examinations, tracking and analyzing exam requests to identify trends that may pose a regulatory concern, and partnering with internal teams in an advisory capacity to provide regulatory guidance on product-related and operational matters.

As a Regulatory Response Specialist on the Regulatory Response team, you’ll be responsible for handling cause and cycle examinations from regulatory agencies, managing the inquiry/exam response lifecycle, drafting responses, recognizing and analyzing trends to identify and mitigate areas of compliance risk, and collaborating with stakeholders to ensure corrective actions are fully implemented.

What you’ll do day-to-day:

• End-to-end management of regulatory inquiries, as well as cause and cycle examinations
• Drafting responses addressing regulatory requests
• Analyze exam requests and findings to identify trends and new risk areas, and provide recommendations to help improve compliance
• Research and interpret rules and regulations to determine applicability to business processes
• Collaborating with legal, business and technology partners to remediate risks
• Act as the compliance subject matter expert and provide regulatory guidance on business initiatives and operational processes to internal teams

About you:

• Passion for Robinhood’s products and our mission to democratize finance for all
• 6+ years of financial services industry experience, and specifically 4 years within the area of broker-dealer regulatory compliance
• 3-5 years of direct prior experience responding to complex regulatory inquiries and exams, including 8210 matters/cause exams and FINRA cycle exams
• Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
• Ability to communicate effectively with regulators to build trusted relationships
• Advanced research, writing and project management skills
• Ability to work independently and cross-functionally with demonstrated results
• Resourceful and adaptive in fast-paced, entrepreneurial environment

Bonus points:

• Active FINRA Series 7 or 24  license (or ability to obtain within a set timeframe)
• Strong Robinhood product knowledge
• Experience managing projects interfacing with technical and non-technical teams
• Prior experience at a financial services regulator (FINRA or SEC)
• Prior experience managing FINRA cycle exams
• Law degree, or certifications such as CRCP or CSCP

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: $115000 - $135000
US Zone 2: $94000 - $110000
US Zone 3: $85000 - $100000