Compliance Principal - Advertising Review

Robinhood
March 12, 2023
Contact:N/A
Offerd Salary:$115000 - $135000
Location:N/A
Working address:N/A
Contract Type:Other
Working Time:Negotigation
Working type:N/A
Ref info:N/A
Join a leading fintech company that's democratizing finance for all.

Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

As we continue to build...

We're seeking curious thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

About the team:

The preferred location for this position is in or around Robinhood's offices in Lake Mary, FL, Westlake, TX, or Chicago, IL with in-office work capabilities, or Remote zones 2 or 3.

Robinhood Financial (“RHF”) is Robinhood's retail broker/dealer, and is looking for a Communication with the Public Compliance Associate within RHF Compliance.

The Communications Compliance Associate will be responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, the Communications Compliance Associate will support the team in guiding internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.

What you'll do day-to-day:
  • Analyze and review brokerage communications to ensure they meet regulatory requirements and Firm policy in order to ultimately provide principal approvals
  • Advise internal customers on the adherence of communications with compliance and internal guidelines
  • Guide internal customers and teammates on compliance for projects and deliverables
  • Develop and implement process improvements to increase quality and scalability
  • Monitor and keep up to date with regulations regarding communications and apply them accordingly
  • Perform other duties and responsibilities as assigned
  • About you:
  • Bachelor's Degree, or equivalent experience, in a related field
  • FINRA Series 7, 63, 4 and 24 Licenses
  • 5 Years of relevant experience, 3+ years working in compliance or a relevant function
  • 2+ years of experience reviewing retail communications covering brokerage products such as stocks, exchange traded products, options, and sweep programs
  • Experience reviewing social media, video/audio, app and other online communications
  • Self-starter with ability to work independently, manage multiple priorities and adapt to a changing environment
  • Ability to effectively work with a sense of urgency and strong attention to detail
  • Excellent communication and relationship building skills and ability to articulate messages clearly and comfortably with employees at all levels
  • Bonus points:
  • Experience working with Product or Design Teams
  • Passion for working and learning in a fast-growing company
  • Experience working for a fintech company
  • The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood's equity plan.

    US Zone 1: $115000 - $135000 US Zone 2: $94000 - $110000 US Zone 3: $85000 - $100000

    Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. You can view comp zones for our US office locations in the table below. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

    Office locations (by comp zone) US Zone 1: Menlo Park, NYC, Seattle, Washington DC US Zone 2: Denver, Westlake (Dallas), Chicago US Zone 3: Lake Mary

    We're looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you're ready to give 100% in helping us achieve our mission—we'd love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.

    Robinhood promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. To review Robinhood's Privacy Policy please visit Robinhood - US Applicant Privacy Policy. If you are an an applicant located in the UK or EEA, please visit the Robinhood UK/EEA Applicant Privacy Policy.

    Click here to learn more about Robinhood's Benefits.

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