Compliance Brokerage Support Specialist



Customer Service, Legal
Westlake, TX, USA · Lake Mary, FL, USA
Posted on Friday, August 18, 2023

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.

Robinhood has a primary in-office working environment; please be sure you have reviewed the preferred working location(s) for this role before applying.

About the team + role

The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC (“RHF”) drives a culture of compliance that actively supports the people, process and technologies vital to our business. We strive to design and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk. As the Compliance Brokerage Support Specialist, you’ll be responsible for assisting a team that provides compliance support for various broker/dealer and clearing functions to ensure their compliance obligations are fulfilled. You’ll also work to collaborate with other business stakeholders to ensure any updates or corrective actions are fully implemented.

What you’ll do

  • Proactive guidance on broker/dealer regulatory requirements.
  • Work with various teams in Ops, Trading, and CX to provide proactive guidance on broker/dealer regulatory requirements.
  • Collaborate with legal, business, compliance and technology partners.
  • Act as the compliance subject matter expert and provide regulatory guidance on business initiatives and operational processes to internal teams.
  • Provide on-site, real-time answers to manager and representative questions and escalations.
  • Help provide education and training on securities regulations, policies, procedures, support/sales practices and supervision.
  • Test policies, procedures, support/sales practices and supervision to ensure effective end to end controls.
  • Initiate communications regarding regulatory updates/changes and policy reminders to various teams.
  • Research and interpret rules and regulations to determine applicability to business processes.
  • Support regulatory filings, exams and inquiries.
  • Continuously enhancing quality assurance and oversight of compliance controls to ensure program efficiency and effectiveness and increase quality and scalability.
  • Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite.
  • Monitoring business developments and ensuring that the compliance program remains fit for purpose and working on the enhancement of this where required.
  • The ability to manage and prioritize multiple projects.

What you bring

  • Bachelor’s Degree
  • 7-10 years of financial services experience, and specifically 3+ years within the area of broker-dealer compliance or supervision
  • Familiarity with regulations and rules relevant to introducing and clearing brokerage firms
  • Strong communication skills that builds trusted relationships among business partners, such as business principals and registered representatives
  • Ability to work through ambiguity by taking responsibility, prioritizing, and meeting deadlines
  • Advanced research, writing, and project management skills
  • Ability to work independently and cross-functionally with impactful results
  • Resourceful and adaptive in fast-paced, entrepreneurial environment
  • Problem solver with keen attention to detail
  • FINRA Series 7
  • FINRA Series 24 (or ability to obtain in 90 days)

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. 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

Click here to learn more about Robinhood’s Benefits.

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.