Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.
With growth as the top priority...
The business is seeking curious, growth-minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you’re invigorated by our mission, values, and drive to change the world — we’d love to have you apply.
About the team + role
The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC (“RHF”) drives a culture of compliance that actively supports the people, process and technologies vital to our business. We strive to design and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk.
As a Brokerage Compliance Senior Specialist you’ll join a team that provides compliance policy, programs and other realtime and proactive support related to various broker/dealer and clearing functions to ensure compliance with policies, procedures, rules and regulations. You’ll also collaborate with other business partners to ensure updates to rules, policies, guidance or enhancements related to corrective actions are fully implemented.
The role is located in the office location(s) listed on 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
- Integrate as a trusted support partner for Brokerage areas including, operations, trading, product, engineering, FINOP, communications, customer experience and risk, and provide proactive guidance on broker/dealer regulatory requirements.
- Design, draft, review, publish and maintain the Brokerage Written Supervisory Procedures and supporting supervisory documentation.
- Support and contribute to the maintenance and departmental standard operating procedures (SOPs).
- Monitor, communicate, and address regulatory policy changes, regulatory notice or alert information and regulatory actions published by regulators as applicable to business processes.
- Translate findings and deficiencies into action plans with stakeholders and provides recommendations to enhance governance, supervisory and operational practices in order to assist in remediation.
- Collaborate with legal, business, product and technology partners.
- Act as the compliance subject matter expert and provide regulatory guidance on business initiatives and operational processes.
- Provide on-site, real-time answers to registered representative and associated persons' questions and escalations related to rules, policies and processes.
- Help identify education areas and assist in providing training on securities regulations, policies, procedures, support/sales practices and supervision.
- Continuously enhance quality assurance and oversight of compliance controls to ensure program efficiency and effectiveness and increase quality and scalability.
- Foster and contribute to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite.
- Manage and prioritize multiple projects.
What you bring
- Bachelor’s Degree or equivalent experience
- 6+ years of financial services experience, and specifically 3+ years within the area of broker-dealer compliance or supervision
- Familiarity with regulations and rules relevant to introducing and clearing brokerage firms
- Strong communication skills that builds trusted relationships among business partners, such as business principals, registered representatives and associated persons
- Ability to work through ambiguity by taking ownership, prioritizing, and meeting deadlines
- Advanced research, writing, and project management skills
- Ability to work independently and cross-functionally with impactful results
- Resourceful and adaptive in fast-paced, entrepreneurial environment
- Problem solver with keen attention to detail
- FINRA Series 7
- FINRA Series 24 (or ability to obtain in 90 days)
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
We use Covey as part of our hiring and / or promotional process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we provide Covey with job requirements and candidate submitted applications. We began using Covey Scout for Inbound on September 19, 2024.
Please see the independent bias audit report covering our use of Covey here.
Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. 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. For other locations not listed, compensation can be discussed with your recruiter during the interview process.
Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)
$115,000—$135,000 USD
Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)
$101,000—$119,000 USD
Zone 3 (Lake Mary, FL)
$89,000—$105,000 USD
Click here to learn more about available Benefits, which vary by region and Robinhood entity.
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 embraces a diversity of backgrounds and experiences 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. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.
What We Do
Robinhood was founded on a simple idea—that our financial markets should be accessible to all. In an industry where barriers have prevailed for too long, this hasn’t always been easy. We’re leveling the playing field by making trading more intuitive, more affordable, and more inclusive to ensure that everyone, regardless of wealth or industry knowledge, feels empowered to participate in the financial system.
Full Disclosures: rbnhd.co/social_media_disclosures
Why Work With Us
Robinhood looks to hire employees who embody a high-growth mindset, set ambitious goals, make decisions independently, and who show up as accountable. The work moves fast, and resilience is key. Maintaining grit, perseverance, and self-motivation are critical to an employee's success at Robinhood, but so is staying humble and sharing credit.
Gallery
.JPG)
_2.png)
