Policies and Internal Controls Specialist, Robinhood Securities 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:

The Policies and Internal Controls Specialist will design, write and maintain firm and departmental procedures that are tailored to Robinhood Securities unique businesses. This candidate will help develop and administer a document management platform designed to maintain, track, update and publish the firm’s written supervisory and operational procedures. Partnering with Robinhood’s cross-functional teams, this candidate will support the creation and maintenance of written supervisory procedures in collaboration with the firm’s Designated Principals in ensuring process and documentation alignment. This candidate will support the Designated Principals with the coordination of responses and remediation related to the controls testing program as well as regulatory, external and internal audit findings. They will implement, continuously enhance and sustain a system for ensuring the policies, procedures, controls inventory and compliance administrative and supervisory documentation scales to support Robinhood’s growth and regulatory change. 

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.

What you’ll do day-to-day:
  • Developing and administration of the document management platform which is designed to maintain, update and publish the firm’s written supervisory procedures.
  • Writing and maintaining Robinhood’s written supervisory procedures (WSP) to keep pace with Robinhood’s evolving product offerings, operational processes and regulatory change.
  • Ownership of controls regarding WSP and related procedures review and approval flow
  • Collaborate with operational teams and cross-functional stakeholders to maintain alignment between the WSPs, the controls inventory, operational process documentation and regulation
  • Partnering with internal stakeholders in developing and implementing a monitoring and testing program designed to ensure compliance with FINRA, SEC and government other regulations
  • Ensuring compliance with annual and interim approval by designated principals
  • Support and coordinate regulatory inquiries for current and historical written supervisory procedures and related documentation.  
  • Support and/or lead cross-functional projects as needed
About you: 
  • Bachelor’s Degree or equivalent work experience
  • 5+ years working in a broker-dealer compliance environment related specifically to WSPs development, maintenance and testing
  • Experience writing and managing written supervisory procedures in accordance with FINRA guidelines 
  • Strong knowledge and research skills related to federal securities laws applicable to broker dealers and how they impact business operations and controls
  • Ability to convey those rules across the organization utilizing strong written and verbal communication skills; often translating regulation and policy into actionable supervisory controls
  • Must be comfortable managing multiple priorities
  • Keen attention to detail and track record of successfully project managing cross-functionally
  • Ability to work independently while keeping interested constituents apprised of project details
  • Ability to learn quickly, think critically and apply problem-solving skills to resolve issues and implement process improvements
  • Institutional curiosity as a driving influencer for understanding the “how” and “why” and the creative thinking to identify efficiencies
Bonus points: 
  • FINRA Series 7 or 24 
  • Experience with FINRA Rules 3110, 3120 and 3130 supervisory system and annual assessments
  • Experience with BCP, Change Management and Information Security documentation
  • 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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