Compliance Associate, Robinhood

• Bachelor’s Degree in related field
• 3-5 years of experience working for a regulated financial services firm
• Familiarity with handling regulatory requirements such as: Customer complaints, new account processes, promotional materials review and approval, periodic reports and regulatory filings
• Exceptional verbal and written communication ability and comfortable with both business and technical discussions with senior audiences
• Results-oriented mentality with a strong focus on delivery of cross-functional projects
• Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities
• Outstanding interpersonal skills and ability to develop strong working relationships
• Strong analytical abilities and proficiency with Excel, Powerpoint
• Resourcefulness, persistence, and the ability to thrive in fast paced, entrepreneurial environment
• Ability to work independently and a strong sense of ownership
• Excellent leadership skills and the ability to drive projects to successful completion

Desirable

• Reports directly to the Robinhood Derivatives Chief Compliance Officer
• The successful candidate will work cross-functionally with enterprise compliance, operations, product, engineering, FINOP, communications, customer experience, legal and risk teams to drive critical initiatives from inception to deployment to ensure conformance and compliance with company and regulatory obligations
• Stand up new futures compliance framework assisting in the development of written supervisory procedures, compliance processes, controls and documentation
• Drive compliance-related projects by collaborating with internal and external parties to clearly identify, explain, and communicate project goals, expectations, and tasks
• Build strong cross-functional relationships with product and engineering teams to assist in delivering compliance related initiatives
• Lead or participate in process development and improvement initiatives to address regulatory requirements, exam requests and other requests for information
• Handle special projects as designated by the Chief Compliance Officer