Financial Compliance Senior Associate, Robinhood
$86-115k
Salary dependent on location. + Bonus Program + Equity
3 days a week in office
Commission-free stock trading & investing app
Be an early applicant
Commission-free stock trading & investing app
1001+ employees
Be an early applicant
$86-115k
Salary dependent on location. + Bonus Program + Equity
3 days a week in office
1001+ employees
Company mission
To democratize finance for all.
Role
Who you are
- Bachelor’s or Master’s degree in Accounting, Finance, Information Systems, or relevant field of study
- Minimum 4 years of work experience in financial audit/attestation in a Big Four firm or a public company’s internal audit/SOX function (or a combination thereof)
- Strong knowledge of SOX 404, the COSO Internal Control Framework, and PCAOB auditing standards
- Demonstrated ownership of end-to-end SOX 404 processes across business controls, with a foundational understanding of the intersection with IT General Controls (ITGCs)
- Ability to independently plan and execute walkthroughs, testing, and evaluation of control design and operating effectiveness
- Highly motivated to work in a fast paced environment and proactive with strong project management, organizational, oral and written communication skills
- Proven ability to partner with business and technology leaders to identify optimal solutions that resolve business process or technology control gaps
- Clear written and verbal communication skills, with experience coordinating testing efforts and aligning on findings with external auditors and senior stakeholders
- Familiarity with GRC platforms (e.g., AuditBoard, Workiva) preferred
What the job involves
- We are building an elite team, applying frontier technologies to the world’s biggest financial problems
- We’re looking for bold thinkers
- Sharp problem-solvers
- Builders who are wired to make an impact
- Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers
- We’re a high-performing, fast-moving team with ethics at the center of everything we do
- Expectations are high, and so are the rewards
- The Financial Compliance team’s mission is to establish and maintain the company’s financial and regulatory compliance, including requirements under the Sarbanes-Oxley Act of 2002 (SOX), the COSO Internal Control Framework, and related frameworks for internal controls over financial reporting
- This team works closely with Controllership teams (Corporate Accounting, Financial Reporting, Stock Administration, etc
- ) and external auditors to ensure compliance with the SOX 404 framework and PCAOB standards while supporting business growth!
- As a Financial Compliance Senior Associate, you will lead the end-to-end SOX cycle for your processes to ensure compliance in internal controls over financial reporting and other disclosure control procedures
- You will partner closely with the Financial Compliance Senior Manager along with business and technology teams to identify control gaps, perform root cause analysis, implement practical solutions, and support compliance with SOX and other regulatory requirements
- This role plays a key part in ensuring financial reporting integrity and audit readiness while contributing to scalable compliance practices across the organization
- At Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams
- Lead the risk assessment, documentation refresh (process flowcharts), walkthroughs, and testing of design and operating effectiveness for key corporate business processes (e.g., Financial Statement Close & Reporting, Payroll, Fixed Assets & Internally Developed Software)
- Assist in the annual and quarterly SOX 404 scoping, qualitative and quantitative risk assessments, controls mapping, and the continuous identification of business process changes
- Proactively collaborate with process owners to gather information, evaluate control deficiencies, perform deep-dive root cause analyses, and track the execution of sustainable, practical remediation plans
- Partner closely with corporate teams to evaluate and revamp existing business controls, streamlining processes to ensure they scale with company growth while ensuring financial and operational risks are addressed adequately
- Evaluate new business processes, product launches, or major organizational changes to identify financial and operational risks before launch, providing strategic recommendations for upfront control design
- Serve as the primary SOX liaison for corporate business teams, bridging the gap between process owners, our internal IT SOX partners (for automated controls and IPE reliance), and external auditors to ensure seamless audit readiness and execution
- Drive ad-hoc special projects as necessary, including controls testing for KPI disclosures and Financial Statement Close & Reporting control revamp work
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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