The opportunity
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades.
What you'll do
Develop, administer, and operationalize the regulatory framework around a new: business activity, including implementation of supervisory and operational policies and procedures.
Be a primary resource for operations, customer service and business teams,: and across Robinhood’s affiliated companies
Conduct testing, surveillance, audits and exams, risk assessments, and annual: reviews to validate supervision and controls are in place, and procedures are accurate
Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries
Identify potential areas of compliance vulnerability and risk, propose: solutions to resolve issues, and provide guidance for future avoidance of similar issues
Build essential workflows that achieve requirements including testing for: books and record, establish proper information barriers, and identify conflicts of interest.
What they're looking for
- Foster a culture of professionalism, client advocacy, and regulatory guidance: within a fast-paced atmosphere of innovation and collaboration across several teams.
- Demonstrate strong subject matter expertise, while allowing for: out-of-the-box thinking, with a goal of providing superior client experience.
- Work as a team, supporting compliance needs across RAM when needed.
