合规高级专员

Join us in building the future of finance.

Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.

• Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.

• Be a primary resource for operations, customer service and business teams, and across Robinhood’s affiliated companies

• Conduct testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate

• Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries

• Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues

• Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.

• Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.

• Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.

• Work as a team, supporting compliance needs across RAM when needed.

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What you bring

• 5-10 years compliance experience with an investment adviser

• Deep understanding of SEC Investment Advisers ‘40 Act and FINRA and regulations

• Demonstrated written, verbal, and presentation skills to communicate ideas and information in a clear, concise manner, whether directly to co-workers, leadership teams, and committee members, as well as regulators.

• Exceptional organizational skills with an ability to think critically, solve problems, and implement process improvements.

• Self-starter who pays close attention to the details.

• Awareness to spot and identify issues and proactively take steps to resolve.

• Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish line.

• Challenging, high-impact work to grow your career.

• Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.

• Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.

• Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more.

• Employer-paid life & disability insurance, fertility benefits, and mental health benefits.

• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!

• Exceptional office experience with catered meals, events, and comfortable workspaces.

In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $115,000 — $135,000 USD

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $101,000 — $119,000 USD

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $89,000 — $105,000 USD

Click here to learn more about our Total Rewards, which vary by region and entity.

If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.

Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.