- Menlo Park
- Lake Mary, FL
- Denver, CO
- Charlotte, NC
- Date Posted
- Oct. 24, 2021
- Product Engineering
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 continue to build and have been recognized as:
- Glassdoor Best Places to Work 2020
- TIME100 Most Influential Companies 2021
- Fortune Best Workplaces in Financial Services & Insurance™ 2021 and Fortune Best Workplaces for Millennials™ 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 Role:
The RHS Compliance Program and Project Manager is a wide-ranging role that is responsible for the organization of RHS’ compliance programs, supervisory system and RHS’ Compliance projects. The role will work to coordinate and scale existing processes as well as identify, design and implement new processes in support of an efficient and effective compliance program. Expect to work with cross-functional partners including Clearing Operations, Risk, Product Management, Market Operations, Legal, Engineering, Information Security, Internal Audit as well as third-party vendors to ensure a strong compliance foundation and operational readiness at scale. The Compliance Program and Project Manager must be familiar with compliance areas such as policy and procedure governance, records management, GRC tools, information technology, monitoring, testing and controls as well as possess strong project management capabilities.
We expect this person to bring his/her personal area of subject matter expertise to provide leadership, culture of compliance and a bias towards action while driving multiple initiatives.
What you’ll do day-to-day:
- Identify, organize and ensure that the RHS and shared service programs are properly supervised and well maintained. Programs such as: Records Management, Cybersecurity, Clearing Operations, Risk, AML and Financial Crimes
- Plan, organize, coordinate, manage and report status on RHS compliance initiatives and projects; facilitate administrative aspects of project management
- Align aspects of people, process and technology and lead various teams from concept to implementation
- Design and build new processes that do not currently exist or assist with the transition of established functions or responsibilities.
- Assist with aspects of audits and examinations; including remediation of findings and identified gaps
- Ensure Programs and Operational teams are ready with adequate resources, information and procedures required to support existing as well as new products or processes
- Surface discovered issues as well as needed operational enhancements and manage those matters to efficient and compliant resolutions
- Work with multiple cross-functional partners throughout our dynamic enterprise to assess issues, synthesize sophisticated information, build consensus, and design solutions
- Organize and prepare management information relating to initiatives, identified issues and corrective action plan progress
- Bachelor’s Degree in relevant field
- 5+ years working at a broker-dealer or other financial institution in program or project management, product operations, consulting, regulatory compliance, compliance tools, audit or controls testing
- Exceptional organizational and project management skills
- Excel at building and maintaining trusted partnerships in a matrixed organization
- Familiarity with processes and regulations relevant to brokerage back-office functions such as: cashiering, securities processing, settlements, securities lending and margin
- Familiarity with change management protocols and risk processes
- Experience with control environments and supervisory aspects of FINRA 3110, 3120 and 3130
- Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities
- Motivation to be a self-starter with ability to work independently
- Eager with great communication and relationship management skills
- Passed the SIE, hold FINRA Series license(s) or advanced degree(s)
- Project Management certifications such as PMP, CPMP
- Familiarity with regulatory programs such as Information Security, Bank Secrecy Act,, KYC requirements, tax, retirement accounts or fraud requirements
- Experience working with FINRA and SEC regulators
- Advanced analytical skills (excel pivot tables are a must, advanced would be above and beyond that), including the ability to identify patterns and trends and draw meaningful conclusions and insights
- Passion for working and learning in a fast-growing company
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’s benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).