Trade Surveillance Specialist 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
The Trade Surveillance Specialist will be a senior contributor working with a team responsible for designing and implementing trade surveillance processes and controls. This includes monitoring exception reports to identify market manipulation and suspicious activity as well as drafting responses to regulatory inquiries. The successful candidate will support the team in monitoring customer behavior to ensure we meet our requirements under Firm policy, BSA, FinCEN guidance, SEC rules, and FINRA regulations.
This position is on our Compliance Surveillance team and will sit in our Denver, CO office.
In this role you will:
- Perform trade surveillance reports, investigate anomalies and make determinations
- Investigate and draft responses to regulatory inquiries
- Provide order and trade data to regulators upon request
- Perform data analysis to calibrate and enhance trade surveillance controls
- Develop and implement process improvements to increase quality and scalability
- Build trust with various internal partners by providing regulatory insights and compliance guidance.
- Participate in cross-functional, ad hoc projects
Some things we consider critical for this role:
- Bachelor’s Degree
- Experience with compliance related to equities and options
- 3+ years working in compliance, financial services operations or a relevant function
- General understanding of brokerage operation and compliance functions
- Self-starter with ability to work independently
- Strong written and verbal communication, analytical skills and strong attention to detail
- Ability to effectively manage multiple priorities and adapt to a changing environment
Some things that would be amazing to have for this role:
- FINRA Series 7 and 24
- Experience with Nasdaq SMARTS Trade Surveillance system
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.