Ethics and Compliance Lead

March 02, 2024
Offerd Salary:$145,000—$170,000
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, growth minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you're invigorated by our mission, values, and drive to change the world — we'd love to have you apply.

About the team + role

Are you passionate about ethics and compliance? Robinhood's Compliance Team is seeking an experienced professional with a hands-on attitude to continue to reinforce our commitment to operating with the highest standards of integrity and ethics.

As the Ethics and Compliance Lead, you will directly develop and oversee Robinhood's Ethics Office. You'll build partnerships across the company and contribute to a culture of integrity and ethical decision making by providing guidance about actual or potential conflicts of interest while also striving to create an open and supportive culture that empowers our employees to speak up.

The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

What you'll do
  • Develop, implement and oversee an effective Ethics Office that fosters an ethical culture throughout the company and aligns with Robinhood's mission and values.
  • Manage and supervise Robinhood's Integrity Helpline and appropriately responding to and/or triaging reports received and when appropriate, conducting investigations into alleged violations of policies, laws and regulations in collaboration with applicable partners. Cultivate and promote a culture of ethics and compliance within the company where employees feel empowered to speak up.
  • Assist with the development, implementation and improvement of the Code of Conduct as well as other Ethics Office policies, procedures and controls that prevent illegal, unethical and improper conduct in conjunction with relevant stakeholders.
  • Collaborating and maintaining strong working relationships with internal and external partners including, among others, business unit compliance leads, legal, people team, learning and development, internal communications, vendors, and law firms. This includes managing large and complex Ethics Office initiatives.
  • Provide guidance and support in interpreting and applying the Code of Conduct or other Ethics Office policies across the company. Review and remediate conflict of interest requests (gifts and entertainment, outside business activities, etc.) and create a scalable standard response playbook for all Ethics Office inquiries.
  • Assist in curating the education employees receive on ethical conduct and compliance requirements. This includes providing subject matter expertise in the development of any related training courses.
  • Create the communication delivery plan about the Code of Conduct, Ethics Offices policies and related substantive topics to create awareness about compliant behavior in tandem with the relevant internal team. Maintain the Ethics Office Confluence pages.
  • Regularly monitor and assess the effectiveness of the Ethics Office, including misconduct and other material compliance risks. Produce quantitative and qualitative reports and metrics for monthly and quarterly reporting, including reporting for the RHM Board of Directors and other partners.
  • Stay ahead of regulatory changes, industry trends, and emerging risks to ensure Robinhood remains compliant and prepared for future challenges. Identify innovative solutions and enhance use of technology to drive process improvements.
  • What you bring
  • Passion for Robinhood's products and our mission to democratize finance for all.
  • Bachelor's degree or equivalent experience in a relevant field. Financial services experience is strongly preferred.
  • Several years of experience as a Compliance and Ethics Officer.
  • Demonstration of strong personal character and a commitment to integrity internally and externally.
  • Excellent written and verbal communication skills including the ability to effectively communicate complex regulatory issues in a simple and logical manner.
  • Highly collaborative and have the ability to lead and influence across different levels across the company with the capability to assume responsibility and ownership.
  • Adept at crafting strategies and building consensus to see them through to fruition.
  • Capacity to think creatively and proactively in analyzing and solving problems.
  • Ability to react with appropriate urgency to situations and requests that require a quick response or turnaround.
  • Strong organizational skills with a keen attention to detail.
  • Demonstrated ability to handle confidential information with discretion and emotional intelligence.
  • Ability to work efficiently and independently in a constantly changing and sometimes ambiguous environment.
  • 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
  • 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. 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. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

    Zone 1 (Menlo Park, CA; New York, NY; Seattle, WA; Washington, DC)

    $145,000—$170,000 USD

    Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)

    $128,000—$150,000 USD

    Zone 3 (Lake Mary, FL)

    $113,000—$133,000 USD

    Click here to learn more about Robinhood's Benefits.

    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 embraces a diversity of backgrounds and experiences 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 review the specific policy applicable to your country.

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