Robinhood9 дней назад

Compliance Senior Specialist

Зарплата не указана

Chicago

Обязанности

01Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures
02Be a primary resource for operations, customer service and business teams, and across Robinhood’s affiliated companies
03Conduct testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate
04Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries
05Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
06Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest
07Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams
08Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience
09Work as a team, supporting compliance needs across RAM when needed

015-10 years compliance experience with an investment adviser
02Deep understanding of SEC Investment Advisers ‘40 Act and FINRA and regulations
03Demonstrated 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
04Exceptional organizational skills with an ability to think critically, solve problems, and implement process improvements
05Self-starter who pays close attention to the details
06Awareness to spot and identify issues and proactively take steps to resolve
07Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish line

01Role is based in New York, Chicago, Westlake, TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected at least 3 days per week
02Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
03100% paid health insurance for employees with 90% coverage for dependents
04Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more
05Employer-paid life & disability insurance, fertility benefits, and mental health benefits
06Time off to recharge including company holidays, paid time off, sick time, parental leave, and more
07Exceptional office experience with catered meals, events, and comfortable workspaces
08Base Pay Range: Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $115,000 — $135,000 USD