Compliance Manager, Robinhood
Brokerage
$134-158k
+ Bonus + Equity
Commission-free stock trading & investing app
Job no longer available
Commission-free stock trading & investing app
1001+ employees
Job no longer available
$134-158k
+ Bonus + Equity
1001+ employees
Company mission
To democratize finance for all.
Role
Who you are
- Passion for Robinhood’s products and our mission to democratize finance for all
- Bachelor’s Degree in relevant field
- 4+ years Broker-Dealer experience
- Passed the SIE and hold(s) active FINRA Series 7 and 24 licenses
- Familiarity with a wide range of brokerage compliance subjects
- Familiarity with on-line brokerage business
- Experience with GRC tools; policy and procedure maintenance
- Experience building and maintaining sophisticated reporting dashboards and trackers
- Experience with Regulatory Change Management systems and processing
- Strong organizational and prioritization skills
- Excellent communication and relationship management skills
- Comfortable creating and delivering reports and presentations to management
- Motivation to be a self-starter with ability to work independently
What the job involves
- The Compliance Programs team is primarily responsible for policy and procedure administration as well as the design, organization and documentation of the Brokerage Supervisory System
- This function also serves as a central point for remediation requiring coordination and update to process ownership and/or supervisory procedures
- The team designs and implements effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk
- The Manager of Brokerage Compliance Policy and Programs should be familiar with an array of compliance subject areas such as policy and procedure governance, records management, GRC tools, monitoring and testing, controls and remediation
- The role manages a team that focuses on the collection, analysis, and tracking of Brokerage policy and program documentation as well as maintenance and administration of the Firm’s Supervisory System
- Manage a team of 3-5 individual contributors
- Oversee the Firm’s Supervisory System responsive to FINRA Rules 3110, 3120 and 3130; ensuring that the Firm’s supervisory controls are operating as intended
- Analysis, collection, maintenance and publication of Brokerage Compliance documentation including Written Supervisory Procedures (WSPs), Standard Operating Procedures (SOPs), Designation and Delegation Tables
- Oversee the Firm’s Compliance calendar, track and manage progress and completion of the firm’s compliance obligations
- Design and oversee Compliance reporting dashboards and related metrics
- Support and maintain the Firm’s Regulatory Change processes
- Oversee and design, where applicable, supervisory processes and Designated Principal ownership over the Firm’s business functions
- Partner with Monitoring and Testing, Operational and Enterprise teams to track compliance testing findings from discovery to remediation
- Oversee and support the Compliance team’s technology applications
- Support Regulatory filings, exams, and inquiries
- Perform other duties as assigned
Our take
For years, traditional brokers ruled the share trading realm, charging hefty fees that locked out everyday investors. Robinhood emerged as a disruptor, offering commission-free trading and opening the door to a new generation. Since then, expectations have continued to evolve, with investors looking not just to lower costs, but for simpler tools, clearer information, and guidance that makes the market easier to understand.
Robinhood was built to meet those changing expectations, designed from the start as a mobile-first platform that makes investor more accessible and less intimidating for people at every stage of their financial journey. Through its app, users can trade stocks and other financial instruments while benefiting from a clean interface and built-in educational support, helping them move from curiosity to confidence without unnecessary complexity.
Recently, Robinhood has strenghtned its impact too, particularly in the UK. With the launch of AI-powered Digests within its Robinhood Cortex assistant that helps users understand what's driving stock movements in plain English, while upcoming options trading and expanded educational resources add flexibility and depth. Together, these steps position Robinhood as a platform evolving alongside its users, blending technology and education to stay ahead in an ever-changing investment landscape.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
Company
Funding (last 2 of 13 rounds)
Feb 2021
$2.4bn
CONVERTIBLE
Jan 2021
$1bn
LATE VC
Total funding: $5.6bn
Company HQ
Downtown Menlo Park, Menlo Park, CA
Leadership
Vlad Tenev
(Co-Founder, CEO & Chairman)Studied Mathematics at Stanford University, where they met Baiju. Dropped out of a PhD to start Robinhood. Alongside Robinhood, Vlad is also the co-founder and Executive Chairman of Harmonic.
Baiju B.
(Co-Founder)Studied Mathematics and Physics at Stanford University, where they met their Vlad and co-founded Robinhood in 2012. Baiju is also the Founder and CEO of Aetherflux.
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