Regulatory Exam and Inquiry Senior Specialist

18 Nov, 2022


Regulatory Exam and Inquiry Senior Specialist

Lake Mary, FL, or New York, NY, or Westlake, TX, or Chicago, IL, or Washington, DC

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.


Check out life at Robinhood on The Muse!

About the team:

The Regulatory Response team acts as a liaison between Robinhood Securities, LLC (“RHS”) and its regulators. Interacting with all levels of management throughout RHS, team members coordinate responses to regulatory inquiries and project-manage the regulatory exam process. The role is fast paced and requires critical thinking, attention to detail and an understanding of the financial industry, products, and rules.

What you’ll do day-to-day:

  • Ensure RHS’s relationships with regulators are positive and productive by engaging with regulators and coordinating Firm responses to regulatory requests
  • Partner closely with RHS business, legal, and critical partners to analyze regulatory requests, identify potential issues and provide compliance support to respond and resolve regulatory issues
  • Coordinate internal reviews, investigations and responses with legal department staff
  • Prepare and submit regulatory agency applications, reports, or correspondence
  • Communicate regulatory information to multiple departments and ensure information is interpreted correctly
  • Ensure timely submission of accurate and comprehensive responses to regulatory requests
  • Develop relationships with business leaders and regulators
  • Handle multiple projects simultaneously from conception to execution and implementation
  • Coordinate, prioritize, and actively lead tasks as needed to meet project timelines
  • Participate in special projects and other duties as assigned

About you:

  • Bachelor’s Degree in Finance or related field (or equivalent)
  • 5+ years working in a broker-dealer compliance environment
  • Familiarity with compliance and brokerage operation functions
  • Strong self-starter with ability to work independently and take initiatives
  • Strong communication and analytical skills
  • Ability to thrive in fast-paced environments, embrace ambiguity and adapt quickly to changes
  • Active FINRA Series 7

Bonus points:

  • FINRA 24, or willingness to obtain

CO Residents: In Colorado, the base pay for this position ranges from $85000 – $110000.
NYC Residents: In NYC, the base pay for this position ranges from $115000 – $135000.

This role is also eligible for an annual discretionary bonus and participation in Robinhood’s equity plan.

Base pay is determined by market location and may vary depending on job-related knowledge, skills, and experience. Please note, some of our roles are open to additional levels which would impact the expected base pay.

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.

Click here to learn more about Robinhood’s Benefits.

Robinhood is a primarily remote company. If hired, you will work as a remote employee unless the job you are applying for has a different working model specified. Please reach-out  to your recruiter if you have any questions regarding the job’s working model.

Learn more here

Job posted: 2022-11-24