Robinhood

Compliance Senior Associate, Regulatory Response

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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 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 competitive products and company culture we continue to build and have been recognized as:

  • Glassdoor Best Places to Work 2020
  • TIME100 Most Influential Companies 2021
  • Fortune Best Workplaces in Financial Services & Insurance™ 2021 and Fortune Best Workplaces for Millennials™ 2021

We’re growing and looking for...

We continue to hire Robinhoodies at a rapid pace to drive this journey, and with that growth comes necessary change. We’re seeking culture builders and curious thinkers looking to co-author the next chapters of our story. We’re in build mode, majorly expanding our team while also growing up as a company. Joining now means helping shape our structures and systems, then taking part as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

About the team:

The Regulatory Response team acts as a liaison between Robinhood Securities, LLC ("RHS") and its regulators. Interacting with all levels of management throughout RHS, team members coordinate responses to regulatory inquiries and project-manage the regulatory exam process. The role is fast paced and requires critical thinking, attention to detail and an understanding of the financial industry, products, and rules.

What you’ll do day-to-day:

  • Ensure RHS's relationships with regulators are positive and productive by engaging with regulators and coordinating Firm responses to regulatory requests
  • Partner closely with RHS business, legal, and critical partners to analyze regulatory requests, identify potential issues and provide compliance support to respond and resolve regulatory issues
  • Provide responses to regulatory agencies regarding the Firm
  • Coordinate internal reviews, investigations and responses with legal department staff
  • Prepare and submit regulatory agency applications, reports, or correspondence
  • Communicate regulatory information to multiple departments and ensure information is interpreted correctly
  • Ensure timely submission of accurate and comprehensive responses to regulatory requests
  • Develop relationships with business leaders and regulators
  • Handle multiple projects simultaneously from conception to execution and implementation
  • Coordinate, prioritize, and actively lead tasks as needed to meet project timelines
  • Participate in special projects and other duties as assigned

About you:

  • Bachelor’s Degree in Finance or related field (or equivalent)
  • 5+ years working in a broker-dealer compliance environment
  • Familiarity with compliance and brokerage operation functions
  • Strong self-starter with ability to work independently and take initiatives
  • Strong communication and analytical skills
  • Ability to thrive in fast-paced environments, embrace ambiguity and adapt quickly to changes
  • Active FINRA Series 7

Bonus points:

  • FINRA Series 24, or willingness to obtain

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.
What are interviews for Compliance Senior Associate like?
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How to land an interview at Compliance Senior Associate?
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