Head of Governance for Platforms

2 weeks ago

New York, New York, United States Robinhood Full time
Overview of the Role

The Governance Team at Robinhood Markets Platforms, which encompasses Customer Experience and Customer Trust & Safety, collaborates with various entities within Robinhood, 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 underpins the essential people, processes, and technologies crucial to our operations. We are dedicated to developing and executing effective compliance and supervisory programs that safeguard customers, uphold market integrity, and mitigate regulatory, financial, operational, and reputational risks.

As the Director of Platforms Governance, you will be pivotal in delivering governance and compliance support for customer experience and trust and safety functions, ensuring adherence to compliance and regulatory mandates. You will also engage with various business stakeholders to guarantee that Platforms maintains the necessary governance and compliance frameworks to support diverse business units and relevant regulatory bodies.

This position is based in the specified office locations, aligning with our in-office working model. Please consult with your recruiter for additional insights regarding our in-office philosophy and 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 ensure customer protection and compliance with regulatory standards through a robust governance program.
  • Oversee the partnership between Platforms and business entities, providing 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.
  • Establish and maintain 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 develop policies and procedures pertinent to Platforms.
  • Develop and oversee the Platforms change management process.
  • Ensure compliance with regulatory requirements, specifically Regulation S-ID (Identity Theft Prevention Program).
  • Lead the Platforms Issues management process, coordinating issue resolution, reporting status updates, and documenting remediation efforts.
  • Supervise the handling of regulatory requests and responses related to compliance and legal inquiries concerning Platforms functions.
  • Work alongside Platforms teams to ensure adherence to WSPs and service agreement obligations.
  • Collaborate with business entities to refine service agreements as necessary.
  • 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 relevant regulations.
  • Guide Supervision and Operations leaders and Consultants to ensure proper 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 concerning Platforms governance.
  • Engage in special assignments and projects within Platforms as needed.
Qualifications
  • 8-10 years of experience in financial services, with a preference for backgrounds in broker-dealer compliance or regulatory experience.
  • Knowledge of regulations and rules relevant to vulnerable investors.
  • Exceptional communication skills to build trusted relationships with business partners, including business principals and registered representatives.
  • Proven ability to navigate ambiguity, take responsibility, prioritize tasks, and meet deadlines.
  • Experience in indirect leadership, guiding, coaching, and training employees across various areas of expertise.
  • Advanced skills in research, writing, and project management.
  • Ability to work independently and collaboratively with significant impact.
  • Resourceful and adaptable in a fast-paced, entrepreneurial environment.
  • Strong problem-solving skills 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 formation 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 with catered meals, fully stocked kitchens, and commuter benefits.

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