Internal Audit Manager, Brokerage

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 role
As an Internal Audit Manager, you will be primarily responsible for execution of audits and recommendations on controls in the areas of brokerage operations and clearing as well as other areas of the business. In this role, you will have the opportunity to influence change and decisions for business initiatives, oversee company-wide risk assessments and delivery of audits on the internal audit plan. The successful candidate will be a strategic thinker and be able to show a clear ability to thrive in ambiguous environments.
This position reports to the Director of Internal Audit.
In your day-to-day role you will:

• Assist Audit leadership in the execution of the audits in line with the Internal Audit Plan
• Own the execution of end-to-end audit procedures in the audit lifecycle: plan and lead audits to assess controls and processes in the areas of brokerage operations and clearing, incl. audit planning, execution, reporting and remediation validation
• Lead assessment of key controls in areas such as ICOC, written supervisory procedures (WSP), company-specific operational requirements for with SEC, FINRA, federal and state regulations
• Prepare audit reports to document audit scope, procedures, findings and recommendations, including interpreting the significance of audit findings, concluding on findings and making practical recommendations for remediation action
• Commit to continuous skills and knowledge development regarding broker-dealer trends, emerging risks, and internal audit tools and techniques
• Advocate for and implement continuous improvement of our internal controls
• Build collaborative and trusting relationships with business partners and cross-functional stakeholders
• Partner on continuous development and enhancement of Audit practice to align with the overall objective and goals of the Audit function (including development of frameworks, metrics, procedures, partnerships, communications and training programs).

About you

• Have a bachelor's degree in a relevant field of study
• 6+ years of experience in an internal audit role
• 4+ years of experience at a broker-dealer
• Hold a SIE certification, Series 7, Series 24 and/ or Series 99 License or other relevant industry certifications
• Have in-depth knowledge and understanding of FINRA, SEC and other applicable broker-dealer regulations
• Build positive relationships and have strong communication skills
• Have strong focus on quality and attention to details
• Experience in end-to-end audit cycle management and independently operate in a fast-paced, dynamic environment while managing multiple projects and initiatives

Bonus points:

• Master's degree in a relevant field of study
• Experience in leveraging data analytics or automated tools and techniques to execute audit procedures
• Big 4 consulting experience
• CPA, CFA and /or CIA certifications

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.