Teams at Robinhood

Lead development and operationalization of compliance framework for a new investment advisory offering. Own testing, surveillance, audits, risk assessments, regulatory responses, and policy implementation. Partner cross-functionally to build workflows, books-and-records controls, information barriers, and conflict-of-interest safeguards while promoting a fiduciary, client-first compliance culture pre-launch and post-launch.

Lead development and oversight of the Crypto AML and Sanctions program. Advise product, risk, and legal on AML/sanctions/fraud risks, manage compliance projects, support licensing, testing, audits, regulatory exams, and global program alignment. Produce policies, reports, and respond to external requests while coordinating corrective actions and board/committee reporting.

Review and approve enterprise and third-party public-facing communications for regulatory and brand compliance. Provide early guidance to creative teams, draft practical compliance guidelines, engage legal counsel, and improve review processes and documentation to ensure adherence to FTC, SEC, FINRA, CFTC, FCA and firm standards.