- Tempe, AZ
- Date Posted
- May. 18, 2021
- Technical & Customer Support
- Financial Services
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, removing fees, 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 world class products and company culture we continue to build and have been recognized as:
- A Great Place to Work
- A CNBC Disruptor 50 in 2019 and 2020
- A LinkedIn Top Startup in 2017, 2018, 2019 and 2020
- Robinhood is backed by leading investors that include DST Global, Index Ventures, NEA, Ribbit Capital, Thrive Capital, and Sequoia.
- Check out life at Robinhood on The Muse!
About the role:
Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and the Customer Experience (“CX”) support team within RHF Compliance focuses on working with our Robinhood CX teams to ensure they are communicating and working with RHF customers in a compliant manner, and serves as the CX team’s their primary point of contact for compliance and regulatory matters related to RHF’s business. The team is responsible for providing guidance, training, testing and supervisory support, acting as an escalation point, partnering in WSP and general policy and procedure updates and implementation, and acting in an advisory capacity to provide regulatory guidance on CX-related and operational matters.
As a Senior Compliance Associate on the CX support team, you’ll be responsible for day-to- day support and oversight of the CX representatives, supervisors and vendors, addressing questions and issues which arise, recognizing and analyzing trends to identify and mitigate areas of compliance risk, and collaborating with stakeholders to ensure corrective actions are fully implemented.
What you’ll do day-to-day:
- Support front line customer support registered representatives and supervisors across the Customer Experience teams and partner vendors
- Proactive guidance on broker/dealer regulatory requirements
- Collaborating with legal, business 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 Policy & Internal Control group and other GRC groups in developing, enhancing and implementing policies, procedures and controls within Customer Experience
- Act as the eyes and ears of compliance within client facing business units
- Provide on-site, real-time answers to manager and representative questions and escalations
- Train on securities regulations, policies, procedures, support/sales practices and supervision
- Test policies, procedures, support/sales practices and supervision to ensure effective end to end controls
- Support regulatory filings, exams and inquiries
- Initiate communications regarding regulatory updates/changes and policy reminders to Customer Experience teams
- Research and interpret rules and regulations to determine applicability to business processes
- Passion for Robinhood’s products and our mission to democratize finance for all
- 7+ years of financial services industry experience, and specifically 5 years within the area of broker-dealer compliance
- Prior experience responding to regulatory inquiries and exams
- Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
- Ability to communicate effectively with registered representatives and supervisors 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
- Active FINRA Series 7 license
- Strong Robinhood product knowledge
- Prior experience in branch or call center environments
- Experience managing projects interfacing with technical and non-technical teams
- Prior experience at a financial services regulator (FINRA or SEC)
- Active FINRA Series 9/10, 24 or 14 licenses
- Certifications such as CRCP, CSCP, law degree
We’re looking for more growth-minded and collaborative people to be a part 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.