Compliance Associate, Regulatory Matters

Washington, DC
Nov 20, 2021
Dec 06, 2021
IT, QA Engineer
Full Time
Join a leading fintech company that's democratizing finance for all. Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in. Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work. We are proud of the competitive products and company culture we continue to build and have been recognized as: Glassdoor Best Places to Work 2020 TIME100 Most Influential Companies 2021 Fortune Best Workplaces in Financial Services & InsuranceA$ cents A cents € zA' cents 2021 and Fortune Best Workplaces for MillennialsA$ cents A cents € zA' cents 2021 We're growing and looking for We continue to hire Robinhoodies at a rapid pace to drive this journey, and with that growth comes necessary change. We're seeking culture builders and curious thinkers looking to co-author the next chapters of our story. We're in build mode, majorly expanding our team while also growing up as a company. Joining now means helping shape our structures and systems, then taking part as we launch into our ambitious future. Check out life at Robinhood on The Muse! A' About the team: Robinhood Financial ("RHF"A' ) is Robinhood's retail broker/dealer, and the Regulatory Matters team within RHF Compliance focuses on fostering positive relationships with our regulators, and serves as their primary point of contact for broker/dealer regulatory matters related to RHF's business. The team is responsible for coordinating, managing and responding to inquiries and examinations, tracking and analyzing inquiry and exam requests to identify trends that may pose a regulatory concern, and partnering with internal teams in an advisory capacity to provide regulatory guidance on product-related and operational matters.A' As a Compliance Associate on the Regulatory Matters team, you'll be responsible for supporting the inquiry intake and triage process, handling regulatory complaints, conducting research and drafting responses, collaborating with internal partners and senior team members on remediation projects, and recognizing trends and escalating appropriately to mitigate compliance risk. What you'll do day-to-day: Support the inquiry intake and triage process Collecting supporting information and writing responses addressing requests Analyze inquiries to identify trends and new risk areas, and partner with other team members to develop recommendations to help improve compliance Provide support for the Regulatory Matters program by updating SOPs, maintaining related trackers and folders, and analyzing metrics to provide insights to business partnersA' Researching and responding to regulatory inquiries with low to medium complexity Assisting senior team members with complex regulatory matters Collaborating with legal, business and technology partners during the inquiry response lifecycle and on remediation projects About you: Passion for Robinhood's products and our mission to democratize finance for all 4+ years of financial services industry experience 2+ years of direct experience responding to regulatory inquiries of low to medium complexity Experience supporting a regulatory compliance program in the financial services industry Developing knowledge of FINRA and SEC rules and regulations Research, writing and project management skills Ability to work independently and cross-functionally with demonstrated results Resourceful and adaptive in fast-paced, entrepreneurial environment Active FINRA Series 7 license (or ability to obtain within 90 days) Bonus points: Strong Robinhood product knowledge Active FINRA Series 24A' Advanced degree or certifications such as CSCP A' We're looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you're ready to give 100% in helping us achieve our mission"A cents € we'd love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes. Robinhood promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. To review Robinhood's Privacy Policy please visit A' Robinhood's benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).