Communication Compliance Associate, Robinhood Financial at Robinhood

| Greater Denver Area
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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, removing fees, and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work. We are proud of the world class products and company culture we continue to build and have been recognized as:

  • A Great Place to Work
  • A CNBC Disruptor 50 in 2019 and 2020
  • A LinkedIn Top Startup in 2017, 2018, 2019 and 2020

Robinhood is backed by leading investors that include DST Global, Index Ventures, NEA, Ribbit Capital, Thrive Capital, and Sequoia.

Check out life at Robinhood on The Muse!

About the role:

We are looking for a motivated self-starter to join our Communications Compliance team at Robinhood Financial, Robinhood’s retail brokerage. The Communications Compliance Associate will be responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, the Communications Compliance Associate will support the team in guiding internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.

What you’ll do day-to-day:
  • Review and approve brokerage communications to ensure they meet regulatory requirements and Firm policy
  • Advise internal customers on the adherence of communications with compliance and internal guidelines
  • Guide internal customers and teammates on compliance for projects and deliverables
  • Develop and implement process improvements to increase quality and scalability
  • Monitor and keep up to date with regulations regarding communications and apply them accordingly
  • Perform other duties and responsibilities as assigned
About you:
  • Bachelor’s Degree, or equivalent experience, in a related field
  • FINRA Series 7, 63 and 24 Licenses
  • FINRA Series 4 (or ability to obtain within 6 months)
  • 3+ years working in compliance or a relevant function
  • 2+ years of experience reviewing retail communications covering brokerage products such as stocks, exchange traded products, options, and sweep programs
  • Experience reviewing web, app, video/audio, social media and other online communications
  • Self-starter with ability to work independently
  • Ability to effectively manage multiple priorities and adapt to a changing environment
  • Good written and verbal communication, strategic, negotiation skills and strong attention to detail
Bonus points: 
  • Passion for working and learning in a fast-growing company
  • Experience working for a FinTech company

We’re looking for more growth-minded and collaborative people to be a part 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 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. To review Robinhood's Privacy Policy please click here.

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Location

Located in Denver's historic and lively Highland neighborhood featuring chic cocktail bars and trendsetting restaurants.
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