Compliance Control Room Senior Associate

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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’ve built and have been recognized as:

  • Forbes Fintech 50 2021
  • Glassdoor Best Places to Work 2021 
  • Inc. Best-Led Companies 2021
  • TIME 100 Most Influential Company 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:

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 Associate, you will report to the Control Room Direcrtor, 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
  • Recent college or law school graduate with 4+ years of compliance or legal-related experience in financial services preferred.
  • 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
  • Familiarity with FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
  • Ability to work collaboratively and cross-functionally
  • 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

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 Robinhood - US Applicant Privacy Policy.

Click here to learn more about Robinhood’s Benefits.

Robinhood is a primarily remote company. If hired, you will work as a remote employee unless the job you are applying for has a different working model specified. Please reach-out  to your recruiter if you have any questions regarding the job’s working model.

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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