Compliance Associate, Regulatory Inquiries

| Greater Denver Area
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.
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:

Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and the Regulatory inquiries team within RHF Compliance focuses on fostering positive relationships with our regulators, and serves as their primary point of contact for broker/dealer regulatory matters related to RHF’s business. The team is responsible for coordinating, managing and responding to inquiries and examinations, tracking and analyzing exam requests to identify trends that may pose a regulatory concern, and partnering with internal teams in an advisory capacity to provide regulatory guidance on product-related and operational matters. 

As a Compliance Associate on the Regulatory Inquiries team, you’ll be responsible for handling cause and cycle examinations from regulatory agencies, managing the inquiry/exam response lifecycle, drafting responses, recognizing and analyzing trends to identify and mitigate areas of compliance risk, and collaborating with stakeholders to ensure corrective actions are fully implemented. 

What you’ll do day-to-day:
  • End-to-end management of regulatory inquiries, as well as cause and cycle examinations
  • Writing responses addressing requests
  • Analyze exam requests and findings to identify trends and new risk areas, and provide recommendations to help improve compliance
  • Research and interpret rules and regulations to determine applicability to business processes
  • Collaborating with legal, business and technology partners 
  • Act as the compliance subject matter expert and provide regulatory guidance on business initiatives and operational processes to internal teams 
About you: 
  • Passion for Robinhood's products and our mission to democratize finance for all
  • Financial services industry experience, and specifically 5 years within the area of broker-dealer compliance
  • Prior experience responding to regulatory inquiries and exams
  • Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
  • Ability to communicate effectively with regulators to build trusted relationships
  • Advanced research, writing and project management skills
  • Ability to work independently and cross-functionally with demonstrated results
  • Resourceful and adaptive in fast-paced, entrepreneurial environment
  • Active FINRA Series 7 license (or ability to obtain within 90 days)
Bonus points: 
  • Strong Robinhood product knowledge
  • Experience managing projects interfacing with technical and non-technical teams
  • Prior experience at a financial services regulator (FINRA or SEC)
  • Active FINRA Series 24 or 9/10 licenses
  • Certifications such as CRCP, CSCP, law degree

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.

Read Full Job Description
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.

Location

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

What are Robinhood Perks + Benefits

Robinhood Benefits Overview

Here at Robinhood, we have a competitive salary and meaningful equity. While we’re all hunkered down and working remotely we have a few benefits to help support your unique WFH situation. Whether you’re thinking about starting a family or if you’re already a parent, we know having a family is tough work. Therefore we have benefits to help you care for and nurture your family. We also have a number of benefits regarding Health & Wellness, Vacation & Time Off, Financial & Retirement, Professional Development, and Office Life.

Culture
Friends outside of work
Eat lunch together
Intracompany committees
Open door policy
Team owned deliverables
Team based strategic planning
Group brainstorming sessions
Open office floor plan
Diversity
Dedicated Diversity/Inclusion Staff
Someone's primary function is managing the company’s diversity and inclusion initiatives
Diversity Employee Resource Groups
Hiring Practices that Promote Diversity
Health Insurance & Wellness Benefits
Flexible Spending Account (FSA)
Dental Benefits
Vision Benefits
Health Insurance Benefits
Life Insurance
Team workouts
Mental Health Benefits
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Company Equity
Child Care & Parental Leave Benefits
Child Care Benefits
Generous Parental Leave
Company sponsored family events
Vacation & Time Off Benefits
Generous PTO
Paid Volunteer Time
Paid Holidays
Paid Sick Days
Perks & Discounts
Casual Dress
Commuter Benefits
Company Outings
Free Daily Meals
Stocked Kitchen
Happy Hours
Parking
Recreational Clubs
Relocation Assistance
Fitness Subsidies
Home Office Stipend for Remote Employees
Professional Development Benefits
Job Training & Conferences
Lunch and learns
Cross functional training encouraged
Promote from within
Paid industry certifications
More Jobs at Robinhood32 open jobs
All Jobs
Finance
Data + Analytics
HR + Recruiting
Marketing
Operations
Project Mgmt
Project Mgmt
new
Denver
Operations
new
Denver
Operations
new
Denver
Data + Analytics
new
Denver
Project Mgmt
new
Denver
HR + Recruiting
new
Remote
Operations
new
Denver
HR + Recruiting
new
Remote
HR + Recruiting
new
Remote
Data + Analytics
new
Denver
HR + Recruiting
new
Remote
HR + Recruiting
new
Remote
HR + Recruiting
new
Remote
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.
Save jobView Robinhood's full profileSee more Robinhood jobs