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Product Compliance Senior Advisor
over 1 year ago | 945 views | 3 applications

Product Compliance Senior Advisor

Denver, New York

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

As a Compliance Advisor on the Brokerage Product team, you’ll report to the Senior Manager of Product Compliance, and be responsible for supporting new and enhanced product and service development, testing, deployment and retrospective review, working with Product, risk and legal to ensure offerings meet regulatory and firm policy requirements, and collaborating with business partners to ensure any updates or corrective actions are fully implemented.

What you’ll do day-to-day:

Partner with Product teams and business partners in ideation, design, development, testing and deployment of brokerage products Act as the compliance subject matter expert and provide guidance on business initiatives and operational processes to internal teams Research and interpret rules and regulations to determine applicability to business processes and provide proactive guidance on broker/dealer regulatory requirements Partner with Policy & Internal Control group, CX Compliance and other Risk & Compliance groups in developing, enhancing and implementing policies, procedures and controls Train on securities regulations, policies, procedures, support/sales practices and supervision to ensure effective end to end controls Communicate regulatory updates/changes and policy reminders to the Product teams Support regulatory filings, exams and inquiries Provide on-site, real-time answers to manager and representative questions and blocking issues About you:

Passion for Robinhood's products and our mission to democratize finance for all 7-10 years of financial services industry experience, and specifically 5 years within the area of broker-dealer compliance Prior experience in a compliance or legal role supporting brokerage product development Extensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations Ability to communicate effectively and independently with cross functional partners with demonstrated results to build trusted relationships Advanced research, writing and project management skills Resourceful and adaptive in fast-paced, entrepreneurial environment Active FINRA Series 7, or 24 Bonus points:

Experience managing projects and partnering with technical and non-technical teams Prior experience with on-line brokerage business FINRA Series 4, or 14 licenses Certifications such as CRCP, CSCP

This role is also eligible for an annual discretionary bonus and participation in Robinhood’s equity plan.

Base pay is determined by market location and may vary depending on job-related knowledge, skills, and experience. Please note, some of our roles are open to additional levels which would impact the expected base pay.

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.

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