Robinhood is democratizing access to America’s financial system. Our platform offers commission-free investing in U.S. stocks, ETFs, options, and cryptocurrencies. Robinhood Financial, our broker-dealer, is the fastest-growing brokerage ever, with over four million users and billions of dollars in transaction volume. Robinhood has received the Apple Design Award, the Google Material Design Award, and was named Fast Company’s 11th Most Innovative Company in the World. We’re backed with $539 million in capital from top-tier investors such as DST Global, NEA, Index Ventures, Thrive Capital, Sequoia, and KPCB, and valued at $5.6 billion. Robinhood is based in Menlo Park, California with a regional office in Lake Mary, Florida.
About the Role
The Compliance Associate will be responsible for designing and implementing processes and controls. This includes monitoring exception reports to identify market manipulation and suspicious activity as well as drafting responses to regulatory inquiries. The associate will support the team in managing regulatory risk and monitoring customer behavior to ensure we meet our requirements under Firm policy, BSA, FinCEN guidance, SEC rules, and FINRA regulations.
As a Compliance Associate you will:
- Investigate and draft responses to regulatory inquiries
- Perform trade surveillance reports, investigate anomalies and make determinations
- Manage and resolve escalated issues from cross-functional teams
- Conduct internal testing of functional areas such as Robinhood’s Customer Identification and Know Your Customer program
- Develop and implement process improvements to increase quality and scalability
Some things we consider critical to being a Compliance Associate:
- Bachelor’s Degree
- 2+ years working in compliance or a relevant function
- General understanding of brokerage operation and compliance functions
- Self-starter with ability to work independently
- Good written and verbal communication, analytical skills and strong attention to detail
- Ability to effectively manage multiple priorities and adapt to a changing environment
Nice to have:
- FINRA Series 7 and 24
Note to Recruiters and Placement Agencies: Robinhood does not accept unsolicited agency resumes. Robinhood does not pay placement fees for candidates submitted by any agency other than its approved partners.
About us Robinhood is a new way to invest in the stock market. For more information about Robinhood, visit www.robinhood.com Zero-dollar ($0) commissions are available for Robinhood Financial self-directed individual cash or margin brokerage accounts that trade U.S. listed securities via mobile devices. Please see our Commission and Fee Schedule. Robinhood communications and communications emanating from its social media community are for informational purposes only and are not intended as an offer or solicitation for the purchase or sale of any financial instrument or as an official confirmation of any transaction. The Robinhood website provides its users links to social media sites and email. The linked social media and email messages are pre-populated. However, these messages can be deleted or edited by Robinhood users, who are under no obligation to send any pre-populated messages. All market prices, data and other information available through Robinhood are not warranted as to completeness or accuracy and are subject to change without notice. Any comments or statements made herein do not reflect the views of Robinhood Markets Inc., Robinhood Financial, LLC or any of the subsidiaries or affiliates. All investments involve risk and the past performance of a security, or financial product does not guarantee future results or returns. There is always the potential of losing money when you invest in securities, or other financial products. Investors should consider their investment objectives and risks carefully before investing. By posting wall comments on Linkedin, you agree to hold harmless Robinhood Markets Inc., Robinhood Financial, LLC or any of their subsidiaries or affiliates All securities and investments are offered to self-directed customers by Robinhood Financial, LLC, member FINRA (www.finra.org) & SIPC (www.sipc.org). Robinhood Financial, LLC is a wholly owned subsidiary of Robinhood Markets, Inc.
Want to learn more about Robinhood? Visit Robinhood's website.
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