Compliance & Risk QA Program Manager 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.
About the role
The Compliance & Risk QA function acts as a key line of defense and helps ensure the effectiveness of Robinhood’s many risk and compliance functions, including core brokerage compliance obligations, technology risk functions, and first-line market risk processes, including adherence to associated policies and fulfillment of applicable regulatory requirements. This role will be responsible for establishing and expanding the Compliance & Risk QA function beyond current responsibilities and creating a world-class QA team. Independent reviews of targeted risk areas will be conducted on a periodic basis and reporting on both the analyst and manager level will be developed.
Your day-to-day will involve:
- Leading team of Risk & Compliance QA analysts, managing workflow, developing test scripts, approving issue assignment, and providing training for analysts
- Develop and implement a QC process for QA analyst work
- Develop and maintain metrics on all reviewed processes for management-level reporting;
- Oversee report generation and analyst-level feedback delivery for reviewed processes
- Coordinate with other managers within QA and reviewed processes to implement and validate corrective action plans
- Expand current QA process to additional first- and second-line functions
Some things we consider critical for this role:
- Bachelor’s Degree in relevant field
- 3+ years working at a broker-dealer or other financial institution in regulatory compliance
- 1+ years working in a people management, team lead, project lead or mentorship capacity
- Familiarity with regulations relevant to broker-dealers including: Bank Secrecy Act, PATRIOT ACT, sanctions regulations, KYC requirements, or fraud requirements, as well as an understanding of applicable broker-dealer regulations (Securities Exchange Act of 1934, Regulation T, etc.) and brokerage products;
- Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities
- Motivation to be a self-starter with ability to work independently
- Passed the SIE or hold FINRA Series license(s)
- Advanced degree
- 3+ year of brokerage compliance experience
- Previous management experience
Feeling ready to give 100% to democratizing finance for all? 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.