Corporate Compliance Senior Lead

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 Advisor Team within RHM Compliance focuses on working with our Robinhood Corporate, Partnerships, Shareholder Communications and related teams ("Corporate teams") to ensure they are exploring, developing and deploying new and enhanced products and services in a compliant manner, and serving as their primary point of contact for compliance matters related to RHM's business . The Advisor team is responsible for providing guidance, training, testing and supervisory support, acting as an escalation point, partnering in general policy and procedure and WSP updates and implementation, and acting in an advisory capacity to provide regulatory guidance on acquisition, partnership and product-related matters, as well as our proxy and shareholder communications business.
As a Compliance Advisor on the RHM team, you'll be responsible for supporting new and enhanced partnerships, M&A and other corporate opportunities for the firm, proxy and other shareholder communications offerings through our Say Technology business, product and service development, testing, deployment and retrospective review, working with business unit compliance, risk and legal to ensure offerings meet regulatory and firm policy requirements, and collaborating with stakeholders to ensure any updates or corrective actions are fully implemented.
What you'll do day-to-day:

• Working with Corporate, M&A, Partnerships, and other RHM groups ("Corporate teams") in ideation, due diligence, discussion, risk assessment and integration of potential acquisitions, mergers and partners for Robinhood's businesses.
• Provide guidance to the Say Technologies team for its proxy voting, shareholder communications Q&A and other products & services offered or to be offered in the future relating to applicable laws and Robinhood policies
• Proactive guidance on regulatory requirements
• Collaborating with legal, business, compliance and technology partners
• Act as the compliance subject matter expert and provide regulatory guidance on business initiatives and operational processes to internal teams
• Partner with legal, finance and business unit compliance teams in developing, enhancing and implementing policies, procedures and controls
• Train on regulations, policies, procedures, support/sales practices and supervision
• Test policies, procedures, support/sales practices and supervision to ensure effective end to end controls
• Provide on-site, real-time answers to business & operational questions and escalations
• Research and interpret rules and regulations to determine applicability to business processes
• Support regulatory filings, exams and inquiries
• Manage multiple, deadline-focused projects in a fast-paced environment

About you:

• Passion for Robinhood's products and our mission to democratize finance for all
• 7-10 years of financial services industry experience, and specifically 5 years within the area of financial services compliance
• Prior experience with on-line financial services
• Prior experience in a compliance or legal role supporting due diligence, post-diligence and integration within financial services
• Familiarity with FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations, shareholder communications
• Ability to communicate effectively with business partners and counsel to build trusted relationships
• Advanced research, writing and project management skills
• 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 financial services regulator (FSA, OCC, Fed, FCA, FINRA or SEC)
• Active FINRA Series 7, 9/10, 24 or 14 licenses
• Certifications such as CRCP, CSCP, law degree

CO Residents: In Colorado, the base pay for this position ranges from $143000 to $189000. 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.