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Regulatory Compliance, Senior Program Manager

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.

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.

Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work. We are proud of the competitive products and company culture we continue to build and have been recognized as:

  • Glassdoor Best Places to Work 2020
  • TIME100 Most Influential Companies 2021
  • Fortune Best Workplaces in Financial Services & Insurance™ 2021 and Fortune Best Workplaces for Millennials™ 2021

We're growing and looking for...

We continue to hire Robinhoodies at a rapid pace to drive this journey, and with that growth comes necessary change. We're seeking culture builders and curious thinkers looking to co-author the next chapters of our story. We're in build mode, majorly expanding our team while also growing up as a company. Joining now means helping shape our structures and systems, then taking part as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

About the team:

As a financial services company, Robinhood has a number of regulatory obligations and risks to manage. Therefore, this role of a risk and regulatory technical program manager at Robinhood would involve overseeing and managing the programs related to enterprise risk management and regulatory compliance within the organization.

This role is based in our Menlo Park office.

What you'll do day-to-day:

  • Developing and implementing written supervisory procedures (WSPs) for Robinhood Technology team's policies & practices are in compliance with relevant regulations and standards, such as SEC, In-state regulatory and compliance bodies and FINRA regulations.
  • Creating/ managing a unified framework of regulatory requirements and controls across various regulators for Robinhood's businesses
  • Ensure that WSPs, policies and procedures are followed throughout engineering and will be reported regularly to the relevant management or governing bodies - internal and external.
  • Stay aware and abreast of all happenings across Robinhood related to the regulatory space. Also anticipate what new requests may come through from several regulatory bodies of interest. Proactively anticipate asks from any compliance, regulatory, internal audit, legal and other teams.
  • This role will include serving as an advisor to the engineering leaders who will be designated principal, and closely partner and collaborate with counterparts of different Robinhood business lines and their compliance/ regulatory Leadership board for tech policies and procedures matters.
  • Maintaining/ refreshing all supporting information, documents related to systems, policies and governance for readily responding to any requests from internal and external teams on regulatory matters.
  • Working closely with other departments within Robinhood, such as legal, compliance, enterprise risk, Internal Audit and security, to ensure all requests regarding written and documented WSPs - controls, policies and procedures for engineering.
  • Closely partner with DRIs and TPMs for areas such as Reliability, Testing, change management, access controls, privilege and others. Own all of the communication, both written and verbal, for technical regulatory matters across engineering to legal, compliance and regulatory interfacing teams.

About you:

  • Prior experience working with regulators and establishing such programs for the company.
  • Background in similar financial services companies is critical. Experience in regulatory response at a brokerage or trading firm.
  • Strong in verbal and written technical communication skills. E.g. Write presentations explaining technicals in a way that resonates with the regulators or Internal audit.
  • Ability to understand high level technical architecture and familiarity with risk and regulatory matters.

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 rbnhd.co/applicant-privacy.

Robinhood's benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).

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: $221000 - $260000
US Zone 2: $195000 - $229000
US Zone 3: $173000 - $203000

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.

Robinhood is a leading financial services company headquartered in Menlo Park, California. The company was founded in 2013 and currently has 23.9 million funded customers, 13.7 million monthly active users, and $130 billion in assets under custody.

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CULTURE VALUES
Inclusive & Diverse
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Mission Driven
Diversity of Opinions
Work/Life Harmony
Dare to be Different
Reward & Recognition
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BENEFITS & PERKS
Maternity Leave
Paternity Leave
Medical Insurance
Dental Insurance
Vision Insurance
Mental Health Resources
Life insurance
Disability Insurance
Health Savings Account (HSA)
Flexible Spending Account (FSA)
401K Matching
Paid Holidays
Paid Sick Days
Paid Time-Off
Learning & Development
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DATE POSTED
July 21, 2023

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Mission Driven
Diversity of Opinions
Work/Life Harmony
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Reward & Recognition
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Learning & Development
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