Compliance Policies & Regulatory Change Senior Associate

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.
As we continue to build...
We're seeking curious thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.
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About the team:
Robinhood Markets ("RHM") Compliance is Robinhood's parent company group, and the Policy & Regulatory Change Team within RHM Compliance is responsible for designing, writing and maintaining processes and guidelines that are tailored to Robinhood's unique business. Partnering with Robinhood's cross-functional teams, this candidate will own the creation and maintenance of policies and written supervisory procedures in collaboration with the Firm's business leaders, ensuring alignment of documentation to processes. In addition, this team will own monitoring of regulatory changes impacting the specified areas of responsibility and partnering with legal and business unit compliance to train and implement as appropriate. They will implement a system for ensuring the compliance function scales to support Robinhood's ambitious growth plans.
As Policy & Regulatory Change Senior Associate, you will report to the RHM Policy & Regulatory Change Senior Manager, and will be responsible for working with RHM compliance colleagues, legal, training and business unit compliance in drafting and implementing policies and procedures, evaluating, analyzing and communicating new or updated regulations, and managing and leading the team. Candidates must be able to keep up in a fast-paced environment with a keen attention to detail. Lastly, this candidate will champion a strong, collaborative compliance culture cross-functionally.
What you'll do day-to-day:

• Writing and maintaining Robinhood Markets' policies and procedures to keep pace with Robinhood's fast-changing product & service offerings and operational processes
• Ownership of any needed controls regarding these procedures review and approval flow
• Collaborate with legal, business unit compliance, training and operational teams to ensure appropriate implementation and to maintain alignment between the parent company policies and business unit policies and processes
• Implementing systems and tools to facilitate maintaining procedures, conducting regulatory change management, and engaging cross-functional stakeholders
• Developing and implementing monitoring and testing programs designed to ensure compliance with appropriate FINRA, SEC and state and federal regulations on behalf of partner business units
• Work in partnership with legal and business unit compliance in evaluating new rules and regulations applicable to Robinhood Markets and its businesses
• Serving as the coordinator for regulatory inquiries for current and historical written procedures for your area of responsibility related to Robinhood Markets

About you:

• Passion for Robinhood's products and our mission to democratize finance for all
• Proven experience of at least 5 years in compliance
• Prior experience leading and managing teams
• Experience writing and managing policies and written supervisory procedures in accordance with regulatory guidelines
• Strong knowledge, research skills and analysis related to federal securities and related laws applicable to public companies, and financial services companies and how they impact business operations and controls
• Ability to convey those rules across the organization utilizing strong written and verbal communication skills; turning regulatory jargon into plain english
• Must have demonstrated cross-functional project management skills, including leading an initiative from concept to completion, identifying stakeholders and building consensus
• Must be comfortable managing multiple priorities, be a self-starter and able to manage a varied and wide range of responsibilities demonstrating a strong results-driven perspective
• Ability to work independently while keeping interested constituents apprised of project details
• Ability to learn quickly, think critically and apply problem-solving skills to resolve issues and implement process improvements in a timely manner
• Institutional curiosity as a driving influencer for understanding the "how" and "why" and possessing creative thinking to identify potential gaps and efficiencies in process and controls
• Collaborative mindset
• 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 financial services regulator (FINRA, SEC, state)
• Active FINRA Series 7 or 14 licenses
• Certifications such as CRCP, CSCP, law degree

CO Residents: In Colorado, the base pay for this position ranges from $102000 to $145000. This role is also eligible for an annual discretionary bonus and participation in Robinhood's equity plan.
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 .
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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.