Compliance Specialist, Robinhood Securities

| 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 Compliance Specialist to join our Compliance team at Robinhood. The successful candidate is one who loves working across many stakeholders to design and implement solutions for complex compliance challenges. This role will be responsible for owning compliance-related, high impact matters that involve internal, cross-functional teams as well as developing an open and transparent relationship with our external regulators. 

We expect this person to bring his/her personal area of subject matter expertise to provide leadership, culture of compliance and a bias towards action while driving multiple initiatives. This position will be located in our Lake Mary, FL or Denver, CO office.

Your day-to-day will involve:
  • Investigating, analyzing, reporting on and resolving escalated compliance issues from product, support and operations teams
  • Supporting and contributing to Robinhood Securities’ regulatory inquiries, internal and external examinations, audits and customer complaints
  • Drive compliance-related projects by collaborating with internal and external parties to clearly identify, explain, and communicate each stakeholder’s involvement, project goals, expectations, and tasks
  • Review and improve internal control and governance frameworks across different business areas
  • Implement and sustain measures to monitor and address and regulatory change
  • Identify issues and patterns while proposing and producing remediation initiatives
  • Partner with internal stakeholders to update and ensure the accuracy of regulatory documentation, procedures, operational workflows, risk assessments, and regulatory correspondence to ensure they meet the high standards set by the team
  • Participate in process improvement initiatives as proposed by providing detailed analysis and compliance support
  • Integrating as a trusted support partner for operations, product, engineering, FINOP, communications, customer experience, legal and risk
About you:
  • Bachelor’s Degree 
  • 5+ years working in compliance or a relevant function
  • Confident in understanding multiple business drivers and the root causes of trends
  • Ability to drive and lead organizational change in a dynamic environment
  • General understanding of brokerage operation and compliance functions
  • Self-starter with ability to work independently
  • Good written and verbal communication, analytical skills and strong attention to detail
Bonus points: 
  • FINRA Series 7 or 24 
  • Experience with FINRA Rules 3120 and 3130 annual assessments
  • Experience with BCP readiness and testing
  • Knowledge of trading compliance, trade reporting, options trading, clearing FINOP functions, settlement, customer protection reserves, custody of securities and operations

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.

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
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