Brokerage Compliance Senior Specialist

Join a leading fintech company that’s democratizing finance for all.

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