Senior Manager of Compliance Communications

30 Oct, 2022

Jobs

Senior Manager of Compliance Communications

Robinhood
Chicago, IL/New York, NY/Denver, CO/Lake Mary, FL/Westlake, TX/Menlo Park, CA

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 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 craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk. The Senior Manager of Compliance Communications will be responsible for reviewing, advising, auditing, and Principal Reviewing – PR (approving) retail communications content (which includes advertising & marketing) to ensure compliance with regulatory requirements and internal guidelines. The Sr. Manager will support the team in guiding internal customers (Marketing, Social, Communications, Public Relations (PR), Research and Product) teams on the compliance guidelines for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.

What you’ll do day-to-day:

  • Lead a team of communication specialists to ensure compliance guidelines for communications are followed
  • Develop and implement process improvements to increase quality and scalability
  • Establish program efficiencies and enhance processes within the team
  • Build strong relationships and align compliance strategy among different stakeholders
  • Review, analyze, and advise stakeholders on the adherence of communications with compliance and internal guidelines
  • Principal Review (approve) communications materials to ensure it meets regulatory and internal standards
  • Guide internal customers and staff on compliance for projects and deliverables
  • Conduct internal Quality Assurance of the communications compliance review process and final approved marketing pieces

About you:

  • Bachelor’s Degree
  • FINRA Series 7 and 24
  • 7+ years working in compliance or a relevant function
  • 5+ years managing people or leading teams
  • Ability to effectively manage multiple priorities and adapt to a changing environment
  • Good written and verbal communication, strategic, negotiation skills and strong attention to detail
  • General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication

Bonus points:

  • FINRA Series 4

CO Residents: In Colorado, the base pay for this position ranges from $143000 to $189000. This role is also eligible for an annual discretionary bonus and participation in Robinhood’s equity plan.

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.

Job posted: 2022-10-30