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Head of Governance for Platforms

2 months ago

New York, New York, United States Robinhood Full time
About the Team and Role

The Governance Team at Robinhood Markets Platforms, which encompasses Customer Experience and Customer Trust & Safety, collaborates with various Robinhood entities, including Operational and Compliance teams at Robinhood Securities, LLC ('RHS'), Robinhood Financial, LLC ('RHF'), Robinhood Crypto LLC (RHC), and Financial Crimes. Our mission is to foster a culture of governance and compliance that actively supports the essential people, processes, and technologies crucial to our operations. We are dedicated to designing and executing effective compliance and supervisory programs that safeguard customers, enhance market integrity, and mitigate regulatory, financial, operational, and reputational risks.

As the Director of Platforms Governance, you will be tasked with delivering governance and compliance support for customer experience and trust and safety functions, ensuring adherence to compliance and regulatory obligations. You will collaborate with various business stakeholders to guarantee that Platforms maintains the necessary governance and compliance frameworks to support different business units and relevant regulatory bodies.

This role is based in the specified office locations, aligning with our in-office working philosophy. Please consult with your recruiter for additional details regarding our in-office expectations.

Key Responsibilities
  • Lead the Governance and Policy team for Platforms (CTS and CX) and collaborate across Platforms and Robinhood's Business Entities (Brokerage, Cash, Crypto, Financial Crimes, and others) to protect our customers and comply with regulatory standards by establishing and sustaining a comprehensive governance program.
  • Oversee the partnership between Platforms and business entities to provide regular updates on performance metrics, outstanding issues, service agreements, and product launches.
  • Manage the selection of topics and preparation of materials for committee presentations, including leadership syncs and the Robinhood Fraud Risk Advisory Committee.
  • Develop the infrastructure for creating, implementing, and maintaining a comprehensive library of policies and procedures related to Platforms.
  • Collaborate with Robinhood's business entities, including COO's and CCO's, to refine and enhance Platforms-related policies and procedures.
  • Establish, maintain, and oversee the Platforms change management process.
  • Ensure compliance with regulatory requirements, including Regulation S-ID (Identity Theft Prevention Program).
  • Lead the Platforms Issues management process, including issue intake, resolution coordination, status reporting, and documentation of remediation efforts.
  • Supervise the handling of regulatory requests and responses related to compliance and legal inquiries involving Platforms functions.
  • Partner with Platforms teams to ensure adherence to WSPs and service agreement requirements.
  • Work with Robinhood's business entities to develop and refine service agreements as needed.
  • Act as a liaison between Internal Audit and Platforms during examinations and reviews.
  • Provide leadership and oversight to the vulnerable persons team lead, ensuring adequate training, policies, and procedures are established across all Robinhood entities to prevent and detect financial exploitation of vulnerable individuals, while ensuring compliance with all applicable rules and regulations.
  • Guide the Supervision and Operations leaders and Consultants to ensure appropriate supervisory reviews are conducted and documented across Brokerage, Crypto, Money, and other entities as required.
  • Evaluate trends and patterns related to complaints, regulatory inquiries, and issues.
  • Ensure compliance with books and records requirements as they pertain to Platforms governance.
  • Engage in special assignments and projects within Platforms as necessary.
Qualifications
  • 8-10 years of experience in financial services, with a preference for backgrounds in broker-dealer compliance or supervision, or prior experience at a regulatory body.
  • Knowledge of regulations and rules pertinent to vulnerable investors.
  • Exceptional communication skills that foster trusted relationships among business partners, including business principals and registered representatives.
  • Ability to navigate ambiguity by taking responsibility, prioritizing tasks, and meeting deadlines.
  • Experience in indirect leadership, as this role necessitates frequent guidance, coaching, and training of other employees within an area of expertise.
  • Advanced skills in research, writing, and project management.
  • Capacity to work independently and collaboratively with significant impact.
  • Resourceful and adaptable in a fast-paced, entrepreneurial environment.
  • Strong problem-solving abilities with meticulous attention to detail.
  • Possession of FINRA SIE, Series 7, Series 24, or 9/10 (or ability to obtain within 90 days).
Benefits
  • Competitive compensation structure focused on pay equity.
  • Comprehensive health insurance coverage for employees, with 90% coverage for dependents.
  • Annual lifestyle wallet for personal wellness, learning, and development.
  • Lifetime maximum benefits for family planning and fertility assistance.
  • Dedicated mental health support for employees and eligible dependents.
  • Generous time-off policies, including company holidays, paid time off, sick leave, parental leave, and more.
  • Dynamic office environment featuring catered meals, fully stocked kitchens, and geo-specific commuter benefits.