About the team:

Robinhood Markets (“RHM”) Compliance is Robinhood’s parent company group, and the Control Room Team within RHM Compliance is responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's clearing/advisory side businesses (e.g., Corporate Development, Syndicate, Securities Lending, Stock Loan, Procurement, Finance and Risk) and public side businesses (e.g., Securities, introducing broker/dealer, cryptocurrency). Additionally, the Control Room is tasked with staying close to M&A and Partnership transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.

As Compliance Control Room Senior Lead, you will report to the Control Room Director, and will be responsible for interacting with the Corporate Development, Syndicate, Securities Lending, Stock Loan, Procurement, Finance and Risk in order to maintain the Firm's Confidential Lists.  Will also liaise with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations, and work with appropriate partners to facilitate preclearance as appropriate.  

What you’ll do day-to-day:

• Provide guidance to research, investment banking, partnerships and other compliance personnel relating to Information Barriers and applicable laws and Robinhood policies.
• Review inter-divisional conflicts submissions, working with other partners including Legal, Investment Banking, Corporate Development, Partnerships, and Business Unit Compliance;
• Conduct conflict clearance and escalation.
• Advise on Information Barrier Compliance issues and coordinate partner concerns
• Develop and implement policies and procedures relating to Information Barriers
• Assist in monitoring the Firm’s Information Barriers by maintaining the Watch and Restricted List
• Review and challenge wall crossing requests
• Assist in preparing and presenting Compliance training programs.
• Development, testing and implementation of the Control Room Systems.
• Manage multiple, deadline-focused projects in a fast-paced environment
• Partner with the Policy & Internal Control group, Surveillance and other Risk & Compliance groups in developing, enhancing and implementing policies, procedures and controls
• Provide real-time answers to manager and representative questions and escalations regarding Robinhood’s Inside information and employee trading policies
• Support regulatory filings, exams and inquiries

About you:

• Passion for Robinhood's products and our mission to democratize finance for all
• Proven experience of at least 5+ years in compliance.
• A basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank OR experience working for a Self-Regulatory Organization or other regulator (e.g. SEC).
• Ability to handle confidential information and matters with discretion
• Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
• Ability to work independently and cross-functionally with demonstrated results
• Resourceful and adaptive in fast-paced, entrepreneurial environment

Bonus points:

• Strong Robinhood product knowledge
• JD or MBA
• Experience managing projects interfacing with technical and non-technical teams
• Prior experience at a broker/dealer financial services regulator (FINRA or SEC)
• Active FINRA Series 7, 9/10, 24 or 14 licenses
• Certifications such as CRCP, CSCP, law degree