Chief Compliance Officer, Brokerage

2 weeks ago

New York NY, United States Robinhood Full time

About the team + role

The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. The candidate will serve as an advisor for Robinhood Financial and Robinhood Securities’s operations and customer service teams and help ensure compliance with brokerage policies and procedures. The candidate will support regulatory change management, ensure compliant product, service and communications offerings, and develop and test the system of supervision and controls.

What you’ll do :
  • Develop, enhance and administer Robinhood’s brokerage policies and procedures to comply with laws, regulations and firm policy
  • Advise management and cross-functional stakeholders on new and existing regulations and compliance best practices
  • Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
  • Serve as point of contact and escalation for Robinhood’s brokerage operations, customer service and business teams
  • Lead, mentor and train team members across multiple geographies
  • Conduct internal controls testing across brokerage processes
  • Create a continuous loop of controls and process improvement, including designing, testing and improving new controls or new compliance and supervisory processes
  • Support the Legal Department in managing relationships with, and inquiries/investigations/exams from regulatory bodies including FINRA and SEC
  • Enhance compliance metrics and reporting for Robinhood’s brokerage businesses
  • Coordinate compliance roles and responsibilities with the enterprise compliance team.
  • Closely coordinate and collaborate with various entities across the Robinhood enterprise.
What you bring:
  • 15+ years working in operations and compliance at a broker dealer, financial services company
  • Extensive & deep knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
  • Great communication and relationship management skills
  • Execution oriented mindset with the humility, drive, and scrappiness to get things done
  • Ability to think critically and apply problem-solving skills to resolve issues and implement process improvements
  • Trustworthy, self-motivated and able to thrive in an entrepreneurial environment
  • Development approach, focused on growing and coaching teams
  • A passion for Robinhood’s product and our mission to democratize access to America’s Financial System
  • FINRA Series 7 and 24

Some things we consider a plus for the role:

  • Juris Doctor (JD) degree from an accredited law school
  • FINRA Series 4, 14 & 66
  • CRCP, CSCP or CAMS certifications
  • Prior experience at a financial services regulator (FINRA or SEC)
  • Active involvement in financial services industry organizations
What we offer
  • Market competitive and pay equity-focused compensation structure
  • 100% paid health insurance for employees with 90% coverage for dependents
  • Annual lifestyle wallet for personal wellness, learning and development, and more
  • Lifetime maximum benefit for family forming and fertility benefits
  • Dedicated mental health support for employees and eligible dependents
  • Generous time away including company holidays, paid time off, sick time, parental leave, and more
  • Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
#J-18808-Ljbffr

  • Chief Compliance Officer

    3 weeks ago

    New York, United States Lime Trading Full time

    Chief Compliance Officer Lime Trading Corp is a registered execution-only, agency broker-dealer focusing on supporting low latency trading activity for institutional and retail clients trading for the US markets via various APIs, front-ends, and order management systems. . Lime is a direct member of all of the US Equity Exchanges, has access to all US...

  • Brokerage and Compliance Analyst

    3 weeks ago

    New York, United States Stash Full time

    Role Stash Invest is in search of a Brokerage and Compliance Analyst to assist in the day to day Brokerage Operations of a rapidly growing investment advisor. Responsibilities Assist in the day to day brokerage operations, including account management, Clearance/Settlement and Regulatory Compliance Conduct daily Operational reviews of the Firm's accounts,...

  • Clearing and Prime Brokerage Advisory Compliance Officer

    3 weeks ago

    New York, New York, United States UBS Full time

    Your role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can: act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank (IB)...

  • Chief Compliance Officer

    1 week ago

    New York, United States Melio Full time

    Job DescriptionJob DescriptionChief Compliance OfficerLocation: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements for Melio Payments, Inc. and its state money transmission licensed affiliate Melio...

  • Chief Compliance Officer

    3 weeks ago

    New York, United States Melio Full time

    Job DescriptionJob DescriptionChief Compliance OfficerLocation: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements for Melio Payments, Inc. and its state money transmission licensed affiliate Melio...

  • Chief Compliance Officer

    7 days ago

    New York, United States Cardea Group Full time

    General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...

  • Chief Compliance Officer

    3 weeks ago

    New York, United States Cardea Group Full time

    General Counsel & Chief Compliance Officer++ (New York, NY): Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully dedicated GC & CCO. This new hire will be a part of the team’s executive leadership committee and spearhead their compliance program efforts while also meaningfully contributing to their...

  • Clearing and Prime Brokerage Advisory Compliance Officer

    4 weeks ago

    New York City, United States UBS Full time

    Your role Are you risk averse but risk aware? Do you know how to maintain independence and objectivity? Do you know how to evaluate risks in a challenging and fast paced environment? We are looking for someone like that who can:• act as a compliance subject-matter expert for the Futures and OTC Derivatives Clearing business within the Investment Bank...

  • Chief Compliance Officer, B2B Payments

    5 days ago

    New York, NY, United States Larson Maddox Full time

    A Business to Business (B2B) payments tool is hiring a Chief Compliance Officer in the New York City Office. Location: Hybrid in New York City The Chief Compliance Officer will be responsible for developing and supporting the implementation of a program to ensure compliance with all relevant legal and regulatory requirements and its state money...

  • Chief Insurance Officer

    4 weeks ago

    New York, United States The Jacobson Group Full time

    Job DescriptionJob DescriptionJob Description:A safety technology and insurance company is seeking a Chief Insurance Officer (CIO). The CIO will assume the highest-level position within the insurance business, directly collaborating with the chief executive officer (CEO), board of directors and capacity partners. This role entails leadership across various...

  • Core Compliance Officer

    1 week ago

    New York, NY, United States Natixis Full time

    A VP-level professional is needed to support the Core Compliance Team in creating and maintaining processes to ensure that all impacted Natixis CIB Americas entities and employees are adequately registered with the appropriate regulatory bodies and comply with related registration requirements.  This will include responsibility for the scheduling and...

  • Chief Financial Officer

    3 weeks ago

    New Orleans, United States High Capital Funding Full time

    Job DescriptionJob DescriptionChief Financial Officer (Part Time) for 3 Small Hedge Funds: Manage all finance, accounting, tax, treasury, and operations for several investment entities.. Limited activity allows part time (typically 20-25 hours per week), flexible schedule, working remotely, billing by the hour as an independent contractor. Report to CEO. No...

  • BDO Capital Advisors, President

    5 days ago

    New York, NY, United States BDO International Full time

    Job Summary:The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The individual in this role will be focused on leading the middle market investment bank which focuses on sell-side advisory,...

  • Compliance Officer

    3 weeks ago

    New York, United States Cardea Group Full time

    Compliance Officer (New York, NY): Our client, a $2B+ private equity fund is currently looking to fill a newly created position as their Compliance Officer. Supporting the Chief Compliance Officer and Associate General Counsel, this position offers the chance to engage in various areas such as compliance, governance, marketing, ESG, and deal-related affairs....

  • Compliance Officer, Park Avenue Securities

    6 days ago

    New York, United States Guardian Life Insurance Company Full time

    The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually regis Compliance Officer, Officer, Compliance, Financial Representative, Regulatory, Project Management, Insurance,...

  • Insurance Compliance Officer

    6 days ago

    New City, United States Sonata Healthcare Full time

    **Sonata Care is one of the top insurance brokerages in the nation**. We are looking for an experienced Insurance Compliance Officer to join our team! We have a 5-star office environment - our company is growing fast, and this is an opportunity for you to come onboard and grow with us! - 2+ years of experience in Insurance Compliance is a MAJOR PLUS. -...

  • Chief Nursing Officer

    2 weeks ago

    New York, United States Tal Healthcare Full time

    Job DescriptionOur client, the nation’s largest municipal health care delivery system in the United States, is hiring a Chief Nursing Officer for one of its locations. Under the direction of the Chief Executive Officer, the Chief Nursing Officer is responsible for overseeing and coordinating Nursing Services. The CNO will work to align the nursing staff...

  • General Counsel/Chief Compliance Officer

    6 days ago

    New York City, United States CS Disco, Inc. Full time

    Your Impact The General Counsel / Chief Ethics and Compliance Officer is the senior-most legal executive in the organization, responsible for providing strategic legal guidance on a global scale to the executive team and Board of Directors on a host of corporate and commercial matters. As a member of the senior leadership team and reporting to the president...

  • Chief Finance Officer

    4 weeks ago

    New York, United States Tandym Group Full time

    A Federally Qualified Health Center (FQHC) in New York is currently seeking an experienced Finance professional to join their staff as their new Chief Financial Officer (CFO). In this role, the Chief Financial Officer (CFO) will be responsible for overseeing and directing budgeting, audit, tax, accounting, purchasing, real estate, long range forecasting, and...

  • Chief Finance Officer

    4 weeks ago

    New York, United States Tandym Group Full time

    A Federally Qualified Health Center (FQHC) in New York is currently seeking an experienced Finance professional to join their staff as their new Chief Financial Officer (CFO). In this role, the Chief Financial Officer (CFO) will be responsible for overseeing and directing budgeting, audit, tax, accounting, purchasing, real estate, long range forecasting, and...