Compliance Specialist, Brokerage Services at Robinhood
About the company
Robinhood is democratizing our financial system. 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.
Robinhood is a fast-growing company and was recognized as a CNBC Disruptor 50 and a LinkedIn Top Startup in 2019. We’re continuing to grow and are looking for incredible talent that can help us achieve our mission.
Robinhood is headquartered in Menlo Park, California, with offices in Lake Mary, Florida, Denver, Colorado and London, UK.
About the role
As a Compliance Specialist on our Compliance Brokerage Services team, you’ll be responsible for expert-level review of complaints to determine FINRA filing applicability. This position will act as the lead reviewer for the team and will provide insight into our multifaceted workflow while strategically managing resources to meet deadlines. The successful candidate will have strong data analysis skills to identify trends of complaints and to synthesize information in a compelling manner for our stakeholder consumption.
This position reports directly to our Compliance Brokerage Services Manager and is located in our Denver, CO office.
Your day-to-day will involve:
- Own the complaints review process to determine filing requirements
- Act as a team lead and subject matter expert to provide direction for our team members and ensure quality reviews
- Provide assistance with other workflows on our team, like internal communication surveillance
- Create controls, provide metrics and analyze data trends
- Apply learnings to help other areas anticipate customer needs ahead of regulatory issues
Some things we consider critical for this role:
- Bachelor’s Degree within a relevant field of study
- 4+ years of experience in a compliance or operations role
- Passion and ability to hunt for answers, identify trends & drivers through data/metrics
- Strong understanding of brokerage operations with an eye for detail
- Strong communication and partnership skills
- Proven ability to multi-task and effectively prioritize in a fast-paced environment
- Operations experience in Compliance or related control function in financial services
- Passion for working and learning in a fast-growing company
- Active FINRA principal licensure (Series 7, 24)
- Experience leading a team of contractors
Feeling ready to give 100% to democratizing our financial system? 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, not just those who simply check off all the boxes.