Senior Communications Compliance Advisor
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 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 competitive products and company culture we’ve built and have been recognized as:
- Forbes Fintech 50 2021
- Glassdoor Best Places to Work 2021
- Inc. Best-Led Companies 2021
- TIME 100 Most Influential Company 2021
We’re growing and looking for...
We continue to hire Robinhoodies at a rapid pace to drive this journey, and with that growth comes necessary change. We’re seeking culture builders and curious thinkers looking to co-author the next chapters of our story. We’re in build mode, majorly expanding our team while also growing up as a company. Joining now means helping shape our structures and systems, then taking part as we launch into our ambitious future.
Check out life at Robinhood on The Muse!
About the team:
Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and is looking for a Communication with the Public Compliance professional within RHF Compliance.
The Senior Communications Compliance Advisor will be responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, the Communications Compliance Advisor will guide internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.
What you’ll do day-to-day:
- Analyze and review brokerage communications to ensure they meet regulatory requirements and Firm policy in order to ultimately provide principal approvals
- Advise internal customers on the adherence of communications with compliance and internal guidelines
- Guide internal customers and teammates on compliance for projects and deliverables
- Develop and implement process improvements to increase quality and scalability
- Monitor and keep up to date with regulations regarding communications and apply them accordingly
- Perform other duties and responsibilities as assigned
About you:
- Bachelor’s Degree, or equivalent experience, in a related field
- FINRA Series 7, 63 and 24 Licenses
- 3+ years working in compliance or a relevant function
- 2+ years of experience reviewing retail communications covering brokerage products such as stocks, exchange traded products, options, and sweep programs
- Experience reviewing social media, video/audio, app and other online communications
- Self-starter with ability to work independently, prioritize and adapt to a changing environment
- Ability to effectively work with a sense of urgency and strong attention to detail
- Excellent communication and relationship building skills and ability to articulate messages clearly and comfortably with employees at all levels
- Able and willing to work PST schedule, including evenings as needed.
Bonus points:
- FINRA Series 4
- Passion for working and learning in a fast-growing company
- Experience working for a fintech company
Colorado Residents Only: In accordance with Colorado state law, Robinhood provides an estimate of the pay range associated with this role. In Colorado, the target salary for this position is $94,000-$134,000 Pay is based on several factors, including but not limited to education, work experience and certifications. Successful candidates for this role are eligible to participate in Robinhood’s equity plan. [Please note that this information is only provided publicly for candidates in Colorado, but the role is open to candidates outside of Colorado as well.]
We are excited to share that Robinhood is a primarily remote company! Our mission to democratize finance for all starts with our people, and that means bringing in and supporting Robinhoodies who can best help drive our mission forward - no matter where they’re based in the country. Read more here.
We’re looking for more growth-minded and collaborative people to be a part of 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 visit rbnhd.co/applicant-privacy.
Robinhood's benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).