Director of Corporate Compliance

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.

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About the team:

Robinhood Markets (“RHM”) Compliance is Robinhood’s parent company group, and the Corporate Compliance Team within RHM Compliance is responsible for retaining, archiving and the supervisory program for Robinhood’s electronic communications, supporting our Say Technology shareholder communications business, leading due diligence for compliance in M&A and Partnership transactions, data analytics and reporting for RHM and Robinhood compliance, and special projects and business support needs which may arise.

As Corporate Compliance Director, you will report to the Robinhood Chief Compliance Officer, and will be responsible for managing and leading the eCommunications archive and review program; supporting due diligence and rollout for new and enhanced partnerships, M&A and other corporate opportunities for the firm; and, supporting proxy and other shareholder communications offerings through our Say Technology business.  You will also be responsible for leading a data analytics team delivering insights and reporting for RHM compliance, and as a service provider for all the Robinhood business unit compliance departments.  

What you’ll do day-to-day:

• Lead the Corporate Compliance Team of specialists and analysts, including setting the strategic and operational plans to ensure offerings meet regulatory and firm policy requirements, and collaborating with stakeholders to ensure any updates or corrective actions are fully implemented.
• Work with corporate engineering to develop, test and implement eCommunication archive and review systems, ensuring documentation is complete and systems is tested and updated regularly
• Ensure eCommunications Team operates effectively and efficiently, meeting SLAs and regulatory obligations for all Robinhood businesses, adhering to standard operating procedures and providing comprehensive reporting.
• Manage multiple, deadline-focused projects in a fast-paced environment
• Partner with the Policy & Internal Control group, Surveillance and other Risk & Compliance groups to develop, enhance and implement policies, procedures and controls
• Provide real-time answers to business & operational questions regarding regulatory requirements
• Support regulatory filings, exams and inquiries and litigation requests
• Lead, manage and be responsible for a variety of projects related to compliance activities and products across RHM while delivering maximum impact, delivering on safety first principles.

About you:

• Passion for Robinhood's products and our mission to democratize finance for all
• Proven experience of at least 7-10 years in compliance
• Prior experience leading and managing teams
• A basic understanding of the rules and regulations relevant eCommunication retention and retrieval requirements issued by SEC and Self-Regulatory Organizations
• Proven ability to lead and manage delivery of compliance technology platforms, and ensure operational compliance on an ongoing basis.
• Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
• Collaborative mindset
• Ability to handle confidential information and matters with discretion
• Ability to work independently and cross-functionally with demonstrated results
• Resourceful and adaptive in fast-paced, entrepreneurial environment

Bonus points:

• Strong Robinhood product knowledge
• Experience managing projects interfacing with technical and non-technical teams
• Prior experience at a broker/dealer financial services regulator (FINRA or SEC)
• JD or MBA
• Active FINRA Series 7, 9/10, 24 or 14 licenses
• Certifications such as CRCP, CSCP, law degree

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs,