Internal Audit Manager, Corporate Compliance
Robinhood
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.
About the team:
The preferred location for this position is in or around Robinhood's offices in Menlo Park, CA or New York, NY with in-office work capabilities, as may be required by management, but remote work in limited geographies within the U.S. may be considered. Check with your recruiter for more information.
As an Internal Audit Manager, you will be primarily responsible for execution of audits and recommendations on controls in the areas of corporate compliance, as well as other areas of the business. In this role, you will have the opportunity to influence change and decisions for business initiatives, oversee company-wide risk assessments and delivery of audits on the internal audit plan. The successful candidate will be a strategic thinker and be able to show a clear ability to thrive in ambiguous environments.
This position reports to the Director of Internal Audit.
What you’ll do day-to-day:
- Execute compliance audits for Robinhood Markets, Inc. in line with the Internal Audit plan
- Serve as a liaison between Internal Audit and the compliance teams
- Conduct end-to-end audit procedures in the audit lifecycle, including audit planning, execution, reporting and remediation validation
- Evaluate adequacy and effectiveness of policies, procedures, processes, systems and internal controls
- Prepare audit reports to document audit scope, procedures, findings and recommendations, including interpreting the significance of audit findings, concluding on findings and making practical recommendations for remediation
- Build collaborative and trusting relationships with business and cross-functional partners
- Proactively interact with business teams to capture information, resolve problems, and make recommendations for business and process improvements
- Advocate for and implement continuous improvement in our internal controls
- Communicate with and educate process owners effectively on the importance of controls, an effective control environment, and the role of Internal Audit
About you:
- Bachelor’s degree in a relevant field of study
- 6+ years of experience in an internal audit role
- Experience conducting audits in the compliance and regulatory space for a broker-dealer and/or multinational fintech company
- Strong focus on quality and attention to details
- Strong project management and communication skills
- Experience in end-to-end audit cycle management and independently operate in a fast-paced, dynamic environment while leading multiple projects / initiatives
Bonus points:
- Master’s degree in a relevant field of study
- Experience evaluating the design, effectiveness and regulatory requirements of processes and controls in the payments space within broker-dealer, bank or similar financial institutions
- SIE, Series 7, or Series 24 and/ or other FINRA licenses, CIA certification
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: $136000 - $160000
US Zone 2: $120000 - $141000
US Zone 3: $106000 - $125000
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 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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