Risk & Compliance Associate
Posted on 3/27/2024
Robinhood

1,001-5,000 employees

Accessible, affordable trading and investment platform.
Company Overview
Robinhood is a pioneering financial services company that democratizes finance by offering accessible and affordable trading services to all, regardless of wealth or industry knowledge. The company's competitive advantage lies in its intuitive platform, which simplifies trading and investing in stocks, options, and cryptocurrencies, and its commitment to inclusivity, which breaks down traditional barriers in the financial industry. As an industry leader, Robinhood is recognized for its technical innovation, including its proprietary clearing system, and its commitment to transparency and customer empowerment.
Fintech

Company Stage

N/A

Total Funding

$7.4B

Founded

2013

Headquarters

West Menlo Park, California

Growth & Insights
Headcount

6 month growth

3%

1 year growth

6%

2 year growth

-22%
Locations
London, UK
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Communications
CategoriesNew
Legal
Risk & Compliance
Legal & Compliance
Requirements
  • Based in the United Kingdom
  • Bachelor's degree or equivalent practical experience
  • 3 - 6 years of compliance practice experience specialising in financial services in the UK
  • Thorough knowledge of compliance topics such as: financial promotions, communications, complaint handling, business continuity, AML ethics & integrity, KYC/CDD,governance and risk & control frameworks
  • Exceptional attention to detail and strong problem-solving skills
  • Excellent written and oral communication skills
  • Open minded, curious, knowledgeable, proactive and not being afraid of asking for help and offering help
  • Self-starter with ability to work independently and coordinate across multiple functional groups
  • Resourceful and adaptive in fast-paced, entrepreneurial environments
  • Experience working in an international team environment
  • A regulatory compliance background with an FCA regulated firm
  • Passionate about financial services
  • Experience working across large projects with multiple work streams and coordinating cross functional teams
  • Ability to quickly understand systems and process flows
Responsibilities
  • Support the design and implementation of risk & compliance processes based on internal policies and frameworks
  • Working with the team and key business stakeholders in completing the UK compliance monitoring program
  • Horizon scanning upcoming regulatory change and assessing impact on the policy and procedure
  • Carrying out day-to-day compliance approvals and escalation processes, such as Financial Promotion approvals and complaints investigation
  • Support the fincrime escalation and investigation processes resulting from customer and transaction monitoring
  • Initiatives to improve effective and efficient processing of the fincrime and compliance related processes
  • Reviewing risk disclosures and risk warnings in any communications or other materials to ensure compliance with local requirements
  • Identifying and assessing risks in a joint effort with the 1st line of defence
  • Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite