Robinhood

Internal Audit Manager, Brokerage Operations

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What Robinhood is looking for in applicants

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 team: 

Internal Audit is looking for an experienced Internal Audit Manager, Brokerage and Clearing Ops to join our growing team.

 

What you’ll do day-to-day:

As an Internal Audit Manager, you will be responsible for partnering with internal stakeholders, specifically, the Brokerage and Clearing Operations team to identify areas of risk, perform audits and assessments, and make valuable recommendations on controls. 

 

Your day-to-day will involve:

  • Supporting the execution of the internal audit plan
  • Preparing audit documentation including, planning memo, audit scope, procedures, findings, including interpreting the significance of audit findings, and making practical recommendations for remediation
  • Evaluating controls in order to assist in identifying gaps and areas of improvement
  • Executing and reporting out on various types of audits (e.g. brokerage and clearing operational audits, regulatory & compliance audits etc.), including post-remediation validation
  • Building collaborative and trusting relationships with business partners and cross-functional teams
  • Partnering with business teams to gather information, resolve problems, and make recommendations for business and process improvements
  • Developing and / or maintaining the audit framework, process and tools
  • Advocating for and implementing continuous improvement in our internal controls
  • Communicating with and educating process owners effectively on the importance of controls, an effective control environment, and the role of Internal Audit
  • Facilitating internal and external communications, including interacting with external auditors and regulators

 

About you:

  • Bachelor’s degree in a relevant field of study
  • 6+ years of auditing experience
  • 4+ years of financial services or high tech industry experience
  • Strong ability to successfully partner with and manage audits for Brokerage and Clearing Operations, Product, Compliance and Customer Experience teams
  • Experience in end-to-end audit cycle management and independently operate in a fast-paced, dynamic environment while managing multiple projects / initiatives
  • Knowledge and understanding of FINRA, SEC and other applicable broker-dealer regulations
  • Ability to deal with ambiguity in an experienced manner and creatively break down complex scenarios

 

Bonus points:

  • Master’s degree in a relevant field of study
  • SIE, Series 7, Series 24 and/ or Series 99 License or other relevant industry certifications
  • Big 4 consulting experience

 

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.

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 visit rbnhd.co/applicant-privacy.

Robinhood's benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).

Want some tips on how to get an interview at Robinhood?

What is Robinhood looking for?
If this role looks interesting to you, a great first step is to understand what excites you about the team, product or mission. Take your time thinking about this and then tell the team! Get in touch and communicate that passion.
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How to land an interview at Internal Audit Manager?
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