Senior Manager of Compliance Communications, Robinhood
$161-215k
+ Bonus plan & equity plan. Salary dependent on location
Commission-free stock trading platform
Be an early applicant
Commission-free stock trading platform
1001+ employees
Be an early applicant
$161-215k
+ Bonus plan & equity plan. Salary dependent on location
1001+ employees
Company mission
To democratize finance for all.
Role
Who you are
- Bachelor’s Degree
- FINRA Series 7 and 24, Series 4 is nice to have
- 7+ years working in compliance or a relevant function
- 5+ years managing people or leading teams
- Ability to effectively manage multiple priorities and adapt to a changing environment
- Good written and verbal communication, strategic, negotiation skills and strong attention to detail
- General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication
What the job involves
- The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC ("RHF"), drives a culture of compliance that actively supports the people, process and technologies vital to our business
- We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk
- The Senior Manager of Compliance Communications will be responsible for reviewing, advising, auditing, and Principal Reviewing - PR (approving) retail communications content (which includes advertising & marketing) to ensure compliance with regulatory requirements and internal guidelines
- The Sr. Manager will support the team in guiding internal customers (Marketing, Social, Communications, Public Relations (PR), Research and Product) teams on the compliance guidelines for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies
- Lead a team of communication specialists to ensure compliance guidelines for communications are followed
- Develop and implement process improvements to increase quality and scalability
- Establish program efficiencies and enhance processes within the team
- Build strong relationships and align compliance strategy among different stakeholders
- Review, analyze, and advise stakeholders on the adherence of communications with compliance and internal guidelines
- Principal Review (approve) communications materials to ensure it meets regulatory and internal standards
- Guide internal customers and staff on compliance for projects and deliverables
- Conduct internal Quality Assurance of the communications compliance review process and final approved marketing pieces
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. Its innovative model thrives on premium features like increased buying power and extended trading hours, attracting a younger audience drawn to meme stocks like AMC and GameStop.
But Robinhood's not just about quick thrills. The company claims its mission lies in catering to "the unmet needs of the next generation," evidenced by its "Robinhood Retirement" launch, targeting gig-economy workers often excluded from financial planning. This commitment to accessibility aligns with its core values.
However, 2023 brought unexpected turbulence, as Robinhood became entangled in the FTX cryptocurrency exchange bankruptcy scandal when it emerged that the US Department of Justice seized hundreds of millions of dollars of the company's shares tied to FTX founder Bankman-Fried. Despite these challenges, Robinhood successfully bought back the missing stock, and its impact on democratizing finance remains undeniable.
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 benefits
- Well-being - Premium medical, dental, and vision insurance
- Family & home life - Parental leave, personal prosperity benefits
- Comfort & care - Annual lifestyle stipend
- Office life - Catered meals and fully stocked kitchen, commuter benefits
- Growth - Education and training, community events, career mentorships
Company HQ
Downtown Menlo Park, Menlo Park, CA
Leadership
Vlad Tenev
(Co-Founder)Studied Mathematics at Stanford University, where they met their fellow co-founder. Dropped out of a PhD to start Robinhood.
Baiju B.
(Co-Founder)Studied Mathematics and Physics at Stanford University, where they met their fellow co-founder.
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