Surveillance Senior Associate

The Surveillance Senior Associate at Robinhood Markets is responsible for conducting trade surveillance investigations to identify suspicious activities, including insider trading and market manipulation. This role involves reviewing alerts, performing investigations from both internal and external sources, and collaborating with team members to enhance surveillance controls, ultimately shaping a safer financial trading environment.

To qualify for the Surveillance Senior Associate position at Robinhood, candidates are required to have a Bachelor's Degree along with 1-2 years of experience in Trade Surveillance or Market Surveillance, preferably in a broker-dealer or FinTech setting. Strong analytical skills, effective communication, and attention to detail are essential attributes for success in this role.

A successful Surveillance Senior Associate at Robinhood is expected to have familiarity with Eventus Trade Surveillance (Validus) and Actimize (ActOne) for case management. Knowledge of compliance regulations such as BSA, FinCEN, SEC rules, and FINRA regulations will also be beneficial in performing investigations effectively.

At Robinhood, the company culture is collaborative and growth-focused, promoting an environment where diverse perspectives are valued. As a Surveillance Senior Associate, you’ll be part of a team that encourages open communication and innovation, all while working towards the common goal of democratizing finance for everyone.

There are ample growth opportunities for a Surveillance Senior Associate at Robinhood, including potential for advancement within the Financial Crimes Surveillance team and broader roles in compliance and regulatory functions. The company is dedicated to personal development, offering resources for skill enhancement and career progression aligned with individual aspirations.

When discussing your experience, highlight specific cases you have worked on related to trade surveillance. Describe your approach to investigating suspicious activities and any tools you used, such as Eventus or Actimize, to analyze data effectively.

Explain your prioritization strategy, emphasizing your ability to assess urgency and potential impact when managing multiple cases. It's beneficial to mention specific time management techniques you apply to ensure efficiency and thoroughness in your work.

Share detailed examples of suspicious activities you've encountered, such as insider trading or spoofing. Focus on the methodologies you utilized for your investigations and any insights gained from those experiences.

Discuss your approach to clear and concise communication, providing examples when you have effectively summarized complex findings for stakeholders. It’s vital to demonstrate your ability to tailor your messaging to different audiences.

Outline your knowledge of these regulations and their importance in maintaining financial integrity. Share examples of how you have applied these rules in past roles to ensure compliance during your trade surveillance activities.

Mention specific resources you rely on, such as industry publications, regulatory bodies, or networking groups. Highlight your commitment to continuous learning and adapting to new compliance requirements.

Provide a scenario where you collaborated with external clients or agencies, detailing the goals of the partnership and how it contributed to a successful investigation. Emphasize your ability to build relationships and communicate effectively.

Walk through your investigative process, from initial analysis and evidence gathering to reporting and filing a SAR. Show your understanding of procedural adherence and importance of detailed documentation.

Share a specific instance where you identified an inefficiency in a surveillance process and your actions to improve it. Explain the outcomes, focusing on how the changes benefited the team and the organization.

Express your enthusiasm for Robinhood’s mission to democratize finance and align it with your career goals. Share how your skills and values fit with the team’s objectives, emphasizing your commitment to integrity in financial markets.