Regulatory Attorney

3 days ago

Syracuse, New York, United States Robinhood Full time
About the Role

We are seeking a highly skilled Regulatory Attorney to join our team at Robinhood. As a key member of our legal department, you will play a critical role in shaping our regulatory strategy and ensuring compliance with complex financial regulations.

Key Responsibilities
  • Navigate complex regulatory frameworks to design and implement innovative financial products and services.
  • Advise senior leaders on complex legal questions and issues, demonstrating excellent judgment and expertise.
  • Manage interactions with regulators, outside counsel, and other parties, ensuring seamless communication and collaboration.
  • Serve as a subject matter expert on securities and capital markets, order routing, execution, clearance, and settlement questions, providing legal analysis and recommendations that impact product design, regulatory approvals, and compliance.
  • Partner cross-functionally with other parts of the legal team, including Government Affairs, Litigation, and Regulatory Enforcement colleagues, and outside of the legal team, including Product, Brokerage, Engineering, and Compliance colleagues.
Requirements
  • J.D. degree from an ABA accredited law school (or foreign equivalent).
  • Membership in at least 1 U.S. State Bar, with good standing.
  • 10+ years of legal practice experience, with at least 8+ years in the financial services regulatory field.
  • Experience building and leading teams.
  • Demonstrated good judgment and provision of advice related to complicated legal issues to senior management.
  • Expertise in researching, applying, and communicating legal requirements in the financial services space in a regulatory context.
  • Direct prior experience with financial services regulators (including FINRA and the SEC).
  • Clearing broker experience, including advising on compliance with clearing agency rules and regulations, e.g., DTCC/NSCC and OCC.
  • Demonstrated leadership advising senior management as to significant legal issues.
  • Experience negotiating clearing broker agreements, including clearing, stock lending, and bank sweep agreements, and establishing Rule 15c3-3 accounts at banks.
  • At least two of the following work experiences:
    • Work at a top law firm in a securities practice focused on broker-dealers.
    • Work at a regulator (e.g., the SEC, FINRA, or the CFTC) as part of a prominent legal/examination group focused on broker-dealers.
    • Work at an in-house legal department with a focus on broker-dealer and trading matters.
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.

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