Robinhood is hiring a

Compliance and Controls Officer

New York, United States

About Robinhood:

Robinhood is democratizing access to America’s financial system. Since our public launch in 2015, we’ve cemented our position as the fastest-growing brokerage with over two million users and billions of dollars in transaction volume. Robinhood received recognition with the Apple Design Award, the Google Material Design Award, and named Fast Company’s 11th Most Innovative Company in the World.

We’re backed by top-tier investors such as DST Global, NEA, Index Ventures, Thrive Capital, Ribbit Capital, a16z, and GV, as well as individuals such as Jared Leto, Ashton Kutcher, John Legend, Snoop Dogg, and Nas.

Robinhood and Compliance:

Robinhood is seeking to hire a Compliance and Controls Officer to join its Brokerage Operations team. Reporting to the Chief Compliance Officer also known as "Uncle Heavy" the Compliance and Controls Officer will be responsible for developing and maintaining an efficient compliance and controls program. 

Here at Robinhood we hold compliance in the highest regard and are known to live by the words "Comply or Die"(all in good fun). We dedicate ourselves to providing the highest standards of ethics and security to our 1 million (and counting) users. With an all-star compliance team, we have been able to tackle many unique challenges in the brokerage realm and intend to continue improving access to the financial markets for all. 

As the Compliance and Controls Officer you’ll: 

  • Provide supervisory and general support to our Compliance and Trading Operations Teams

  • Conduct testing and monitoring of business activities, to ensure compliance with regulations and internal policies and procedures, best practices and industry guidance
  • Provide monitoring and surveillance on daily, weekly, monthly or quarterly reports of client and firm activity. Documenting results and communicating findings to our Chief Compliance Officer.
  • Identify and, where necessary, design and perform periodic monitoring of third party vendors and/or affiliates
  • Work closely with executive team in order to fully understand the business lines and products in which the firm transacts
  • Strive to create the best financial tools available working closely with Brokerage, Business Development and Product teams as well as our C level executives 
  • Proactively identify and escalate any issues and weaknesses in the surveillance of client accounts and trades

Some things we consider critical to being a Compliance and Controls officer:

  • 3+ years supervision and controls experience in an online retail brokerage or self clearing financial services firm

  • Bachelor's degree

  • Series 7, 24, 63 or 66
  • Possess or obtain Series 57 (within the first 3 months)
  • Superior expertise, investigative skills and knowledge of FINRA and SEC rules as they apply to financial institutions

Note to Recruiters and Placement Agencies:
Robinhood does not accept unsolicited agency resumes. Please do not forward resumes to any person or email address at Robinhood prior to obtaining a signed agreement from Recruiting/HR. Robinhood is not liable for and will not pay placement fees for candidates submitted by any agency other than its approved recruitment partners. Furthermore, any resumes sent without an agreement in place will be considered your company's gift to Robinhood and may be forwarded to our recruiters for their attention.