Compliance Testing Program Manager

| Greater Denver Area
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.
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 Compliance Testing function acts as a key line of defense and helps ensure the effectiveness of Robinhood's AML Program, as well as ongoing compliance of the Sanctions and Fraud programs, including adherence to associated policies and fulfillment of applicable regulatory requirements. This role is responsible for managing the second-line Compliance Testing Function at Robinhood. The Program Manager will be responsible for maintaining the testing calendar, engaging first- and second-line business units to coordinate testing, and supervising all aspects of compliance testing.

This position will report to the Compliance QA & Testing Manager. This role can be based out of Southlake, Texas, Denver, Colorado, or Lake Mary, Florida offices.

Your day-to-day will involve:
  • Further develop and implement the second-line compliance testing program at Robinhood by working closely with cross-functional leaders
  • Plan and direct execution of the firm's second line of defense control testing program of the Financial Crimes (AML, Sanctions, and Fraud) and other brokerage compliance processes
  • Design and assign transactional testing and field work to validate the efficacy of internal controls
  • Identify compliance risks inherent in a business process or control and assess whether the control framework is effectively managing known risks
  • Synthesize and structure compliance testing data to create meaningful insights and management reporting, through the use of data analytics and visualization tools
  • Draft reports encompassing the review results that clearly articulate the issues noted and remedial actions to be taken
  • Organize and prepare management information relating to testing reviews completed, issues identified, outstanding corrective action plans, and progress against plan(s)
  • Supervise and develop a team of testing associates and analysts
About you:
  • Bachelor's Degree in relevant field
  • 3+ years working at a broker-dealer or other financial institution in regulatory compliance, compliance testing, audit or controls testing
  • 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
Bonus points:
  • Passed the SIE or hold FINRA Series license(s)
  • Advanced degree
  • Financial Crimes compliance experience

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.


Read Full Job Description
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.

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
More Jobs at Robinhood32 open jobs
All Jobs
Finance
Data + Analytics
HR + Recruiting
Marketing
Operations
Project Mgmt
Project Mgmt
new
Denver
Operations
new
Denver
Operations
new
Denver
Data + Analytics
new
Denver
Project Mgmt
new
Denver
HR + Recruiting
new
Remote
Operations
new
Denver
HR + Recruiting
new
Remote
HR + Recruiting
new
Remote
Data + Analytics
new
Denver
HR + Recruiting
new
Remote
HR + Recruiting
new
Remote
HR + Recruiting
new
Remote
Apply now
By clicking continue you agree to Built In’s Privacy Policy and Terms of Use.
Save jobView Robinhood's full profileSee more Robinhood jobs