Compliance Programs Senior Specialist

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

Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is 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.

As we continue to build...

We’re seeking curious thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

About the team:

The preferred location for this position is in or around Robinhood's offices in Lake Mary, FL or Westlake, TX with in-office work capabilities, as may be required by management.

The Compliance Programs team is primarily responsible for policy and procedure administration as well as the organization and documentation of the Brokerage Supervisory System. This function also serves as a central point for remediation requiring coordination and update to process ownership and/or supervisory procedures. The Compliance Programs Senior Specialist must be familiar with an array of compliance subject areas such as policy and procedure governance, records management, GRC tools, monitoring, testing and controls.

What you’ll do day-to-day:

• Integrating as a trusted support partner for operations, product, engineering, FINOP, communications, customer experience, legal and risk
• 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) and supporting supervisory documentation
• Responsible for monitoring, communicating, and addressing regulatory change
• Assists with translating findings and deficiencies into action plans with stakeholders and provide recommendations to enhance governance, supervisory and operational practices
• Partner with Monitoring and Testing and Operational teams to track compliance testing findings from discovery to remediation
• Perform other duties as assigned

About you:

• Bachelor’s Degree in relevant field
• 5+ years Broker-Dealer experience
• Active FINRA Series 7
• Familiarity with regulations relevant to brokerage back and front office functions such as: Customer service, new account processes, records management, clearing functions, cashiering, securities processing, settlements, securities lending, Regulation T and the Securities Exchange Act of 1934
• Experience with 3120 and 3130 annual assessments
• Experience working with DTCC, OCC as well as FINRA and SEC regulators
• Motivation to be a self-starter with ability to work independently
• Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities

Bonus points:

• FINRA Series 24
• Experience working for a fintech company

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.

US Zone 1: $140000 - $165000
US Zone 2: $123000 - $145000
US Zone 3: $102000 - $120000

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. You can view comp zones for our US office locations in the table below. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Office locations (by comp zone)
US Zone 1: Menlo Park, NYC, Seattle, Washington DC 
US Zone 2: Denver, Westlake (Dallas), Chicago 
US Zone 3: Lake Mary

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 rep