About the team + role
The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood s broker dealers. The candidate will serve as an advisor for Robinhood Financial and Robinhood Securities s operations and customer service teams and help ensure compliance with brokerage policies and procedures. The candidate will support regulatory change management, ensure compliant product, service and communications offerings, and develop and test the system of supervision and controls.
What you ll do:
- Develop, enhance and administer Robinhood s brokerage policies and procedures to comply with laws, regulations and firm policy
- Advise management and cross-functional stakeholders on new and existing regulations and compliance best practices
- Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
- Serve as point of contact and escalation for Robinhood s brokerage operations, customer service and business teams
- Lead, mentor and train team members across multiple geographies
- Conduct internal controls testing across brokerage processes
- Create a continuous loop of controls and process improvement, including designing, testing and improving new controls or new compliance and supervisory processes
- Support the Legal Department in managing relationships with, and inquiries/investigations/exams from regulatory bodies including FINRA and SEC
- Enhance compliance metrics and reporting for Robinhood s brokerage businesses
- Coordinate compliance roles and responsibilities with the enterprise compliance team.
- Closely coordinate and collaborate with various entities across the Robinhood enterprise.
What you bring:
- 15+ years working in operations and compliance at a broker dealer, financial services company
- Extensive & deep knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
- Great communication and relationship management skills
- Execution oriented mindset with the humility, drive, and scrappiness to get things done
- Ability to think critically and apply problem-solving skills to resolve issues and implement process improvements
- Trustworthy, self-motivated and able to thrive in an entrepreneurial environment
- Development approach, focused on growing and coaching teams
- A passion for Robinhood s product and our mission to democratize access to America s Financial System
- FINRA Series 7 and 24
Some things we consider a plus for the role:
- Juris Doctor (JD) degree from an accredited law school
- FINRA Series 4, 14 & 66
- CRCP, CSCP or CAMS certifications
- Prior experience at a financial services regulator (FINRA or SEC)
- Active involvement in financial services industry organizations
What we offer
- Market competitive and pay equity-focused compensation structure
- 100% paid health insurance for employees with 90% coverage for dependents
- Annual lifestyle wallet for personal wellness, learning and development, and more!
- Lifetime maximum benefit for family forming and fertility benefits
- Dedicated mental health support for employees and eligible dependents
- Generous time away including company holidays, paid time off, sick time, parental leave, and more!
- Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
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