Compliance Specialist
Posted on 3/24/2023

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.
Chicago, IL, USA • Lake Mary, FL, USA • New York, NY, USA
Experience Level
Desired Skills
Customer Service
Legal & Compliance
Customer Success & Support
  • 5-10 years compliance experience with an investment adviser and broker-dealer
  • Deep understanding of SEC Investment Advisers '40 Act, FINRA, and ERISA rules and regulations
  • Demonstrated written, verbal, and presentation skills to communicate ideas and information effectively in a clear manner whether directly to co-workers and partners, leadership teams and committee members, or outside vendors and regulators
  • Exceptional organizational skills with an ability to think critically, solve problems and implement process improvements
  • Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish line
  • A passion for Robinhood's product, and our mission to democratize for all access to America's Financial System
  • 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
  • Develop, administer, and operationalize the regulatory framework around a new business unit, including implementation of supervisory and operational policies and procedures
  • Be a primary resource for operations, customer service and business teams, and across Robinhood's affiliated companies
  • Conduct internal testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate
  • Research and respond to regulatory inquiries, exams and audits, complaint resolution, and customer inquiries
  • Development and delivery of training program, in coordination with broader continuing education and compliance training programs
  • Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
  • Review, approval, and tracking of marketing and advertisements for the RIA as well as co-branded content
  • Build essential workflows that achieve requirements including annual notifications, best execution review, testing for books and record retention, establish proper information barriers, and identify conflicts of interest
Desired Qualifications
  • Series 7 and 65/66
  • Previous experience at a financial services regulator (SEC or FINRA)
  • Principal securities licenses (Series 24, 9/10, 4) and certifications (CRCP, CAMS)