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Robinhood
Lead Compliance Testing Analyst
over 1 year ago | 1103 views | 13 applications

Lead Compliance Testing Analyst

Full-time
Canada, Remote, United States
Per year
$68,000 To $105,000

About the company

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.

Job Summary

We’re seeking curious thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

Crypto Compliance Operations is seeking a Testing & Monitoring (T&M) Lead to assist in designing and implementing Testing & Monitoring of the Robinhood Crypto (RHC) Compliance and Operations processes. The Specialist will work with the entire Crypto Compliance team, RHC Operations, Financial Crimes as well as other internal partners to establish, design and execute testing and monitoring of critical processes and associated controls. The Lead may analyze various data elements and assist with reporting data from process outputs.

What you’ll do day-to-day:

Execute control testing reviews with limited supervision including assessing key risks and evaluating associated control design and effectiveness. Participate in related meetings and complete all required documentation that supports the work performed in accordance with methodology requirements. Attention to detail and quality are key requirements. Communicate test results in an effective manner with Compliance, Operations and Leadership, both verbally and through written Testing reports. Draft issues, reports and prepare planning memos, process narratives, flow charts, lead sheets and any working documents as well as other test related material that requires minimal editing. Recommend ratings for both issues/test findings and reports based on the work performed considering the risk presented to the entity and overall, to RHC. Build effective relationships with colleagues to enable partnership and collaboration for control related matters. Identify the root cause for the identified gaps, regulatory policy and/or internal control deficiencies. Be able to present suggestions for process improvements, associated corrective action plans as well as evaluating the timeliness and proposed remedial actions by management. Monitor and report to management regular progress reports relating to remediation efforts associated with any and all deficiencies noted and shared with various teams. Lead review hours to deliver work on time and in accordance with the agreed upon budget. Recommend opportunities to update the test plan based on observations during execution of test work. Find opportunities to enhance operational efficiency and effectiveness both for processes being reviewed and process monitoring or the Testing Methodology. Participate in governance-related special projects or ad hoc RHC Compliance-related assignments on an as-needed basis.

About you:

5+ years of relevant progressive testing and or auditing experience with a focus on identifying gaps/risks and evaluating control design and effectiveness. Solid foundational knowledge of planning and implementing tests focused on control design and effectiveness. Ability to work with large volumes of data; extract and manipulate large datasets using standard tools such as SQL and SAS. Solid working knowledge of Google Suite. Understanding of Crypto Operations business processes, including the applicability risk controls and regulatory requirement by country/region. Proactive approach to enhancing payment processing industry and related product knowledge to ensure compliance test efficiency and effectiveness. Ability to assume ownership of assigned tasks and deliver a quality product within the agreed framework including the hours allocated. Able to demonstrate through experience how a proactive approach or initiative has been taken to meet an agreed timeline or job requirement. Ownership for accurate documentation reflective of the work performed and supportive of the conclusions reached. Effective time management with the ability to coordinate and prioritize multiple and contending priorities. Strong verbal and written communication skills with the ability to clearly articulate questions, provide management with relevant information and respond to any questions they may have. Demonstration of knowledge courage; able to take a position and influence management. Ability to establish effective working relationships with colleagues and peers. Ability to demonstrate collaboration and partnership and actively promote collaboration. Ability to consistently meet deadlines and work additional hours where required. Ability to maintain confidentiality in all aspects of the job Bachelor's degree or equivalent practical experience; advanced degree is a plus but not required Familiarity with cryptocurrency markets and blockchain technology Exceptional attention to detail and strong problem-solving skills Excellent written and oral communication skills Self-starter with ability to work independently and coordinate across multiple functional groups Resourceful and adaptive in fast-paced, entrepreneurial environments

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