Internal Audit Senior Associate - Compliance & Operations

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.
Check out life at Robinhood on The Muse !
What you'll do day-to-day:
As an Internal Audit Senior Associate - Compliance & Operations, you will partner with IA leaders to identify areas of risk, document and test controls and make recommendations that support improvements to the control environment. In this role, you will:

• Support execution of audits in the areas of Compliance & Operations in line with the Internal Audit plan
• Conduct audit procedures incl. walkthroughs, testing of controls and substantive testing procedures
• Help evaluate adequacy and efficiency of policies, procedures, systems and internal controls
• Build collaborative relationships with business and cross-functional partners
• Interact with business teams to understand processes and controls, tackle problems, and make recommendations for process improvements

About you:

• Bachelor's degree in a relevant field of study
• 3+ years of experience in financial services industry
• 2+ years of experience working in compliance or operations space
• Experience evaluating the design, effectiveness and regulatory requirements of processes and controls in the Compliance space within a bank, broker-dealer, or similar financial institutions
• Strong focus on quality and attention to details
• Strong communication skills
• Strong self-starter with ability to work independently and take initiatives
• Ability to thrive in fast-paced environments, work with ambiguity and adapt quickly to changes

Bonus points:

• Master's degree
• Big 4 audit or consulting experience
• SIE, Series 7, or Series 24 and/ or Series 99 License, CIA, CAMS and/or CFE 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 .
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.