Regulatory Response Senior Specialist
Posted on 2/16/2023

1,001-5,000 employees

Zero commission stock & crypto trading
Company Overview
Robinhood’s mission is to democratize finance for all. The company believes that everyone should have access to the financial markets, and Robinhood was built to make investing friendly, approachable, and understandable for newcomers and experts alike.
Remote • Chicago, IL, USA • Lake Mary, FL, USA • Denver, CO, USA
Experience Level
Legal & Compliance
  • 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
  • We're looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you're ready to give 100% in helping us achieve our mission-we'd love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes
  • Robinhood promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. To review Robinhood's Privacy Policy please visitRobinhood - US Applicant Privacy Policy. If you are an an applicant located in the UK or EEA, please visit the Robinhood UK/EEA Applicant Privacy Policy
  • Clickhere to learn more about Robinhood's Benefits
  • 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
Desired Qualifications
  • 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