Director Of Corporate Compliance

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
Robinhood Markets (“RHM”) Compliance is Robinhood’s parent company group, and the Corporate Compliance Team within RHM Compliance is responsible for retaining, archiving and the supervisory program for Robinhood’s electronic communications, supporting our Say Technology shareholder communications business, leading due diligence for compliance in M&A and Partnership transactions, data analytics and reporting for RHM and Robinhood compliance, and special projects and business support needs which may arise.
As Corporate Compliance Director, you will report to the Robinhood Chief Compliance Officer, and will be responsible for managing and leading the eCommunications archive and review program; supporting due diligence and rollout for new and enhanced partnerships, M&A and other corporate opportunities for the firm; and, supporting proxy and other shareholder communications offerings through our Say Technology business. You will also be responsible for leading a data analytics team delivering insights and reporting for RHM compliance, and as a service provider for all the Robinhood business unit compliance departments.
What You’ll Do Day-to-day

• Provide real-time answers to business & operational questions regarding regulatory requirements
• Support regulatory filings, exams and inquiries and litigation requests
• Lead, manage and be responsible for a variety of projects related to compliance activities and products across RHM while delivering maximum impact, delivering on safety first principles.
• Manage multiple, deadline-focused projects in a fast-paced environment
• Lead the Corporate Compliance Team of specialists and analysts, including setting the strategic and operational plans to ensure offerings meet regulatory and firm policy requirements, and collaborating with stakeholders to ensure any updates or corrective actions are fully implemented.
• Work with corporate engineering to develop, test and implement eCommunication archive and review systems, ensuring documentation is complete and systems is tested and updated regularly
• Partner with the Policy & Internal Control group, Surveillance and other Risk & Compliance groups to develop, enhance and implement policies, procedures and controls
• Ensure eCommunications Team operates effectively and efficiently, meeting SLAs and regulatory obligations for all Robinhood businesses, adhering to standard operating procedures and providing comprehensive reporting.

About You

• Passion for Robinhood's products and our mission to democratize finance for all
• Proven ability to lead and manage delivery of compliance technology platforms, and ensure operational compliance on an ongoing basis.
• Resourceful and adaptive in fast-paced, entrepreneurial environment
• Proven experience of at least 7-10 years in compliance
• Prior experience leading and managing teams
• Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
• Ability to work independently and cross-functionally with demonstrated results
• A basic understanding of the rules and regulations relevant eCommunication retention and retrieval requirements issued by SEC and Self-Regulatory Organizations
• Ability to handle confidential information and matters with discretion
• Collaborative mindset

Bonus Points

• Experience managing projects interfacing with technical and non-technical teams
• Certifications such as CRCP, CSCP, law degree
• JD or MBA
• Active FINRA Series 7, 9/10, 24 or 14 licenses
• Prior experience at a broker/dealer financial services regulator (FINRA or SEC)
• Strong Robinhood product knowledge

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: $213000 - $250000
US Zone 2: $187000 - $220000
US Zone 3: $166000 - $195000
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.