As Compliance Control Room Senior Lead, you will report to the Control Room Director, and will be responsible for interacting with the Corporate Development, Syndicate, Securities Lending, Stock Loan, Procurement, Finance and Risk in order to maintain the Firm’s Confidential Lists. Will also liaise with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations, and work with appropriate partners to facilitate preclearance as appropriate.
- Provide guidance to research, investment banking, partnerships and other compliance personnel relating to Information Barriers and applicable laws and Robinhood policies.
- Review inter-divisional conflicts submissions, working with other partners including Legal, Investment Banking, Corporate Development,
- Partnerships, and Business Unit Compliance;
- Conduct conflict clearance and escalation.
- Advise on Information Barrier Compliance issues and coordinate partner concerns
- Support regulatory filings, exams and inquiries
- Develop and implement policies and procedures relating to Information Barriers
- Assist in monitoring the Firm’s Information Barriers by maintaining the Watch and Restricted List
- Partner with the Policy & Internal Control group, Surveillance and other Risk & Compliance groups in developing, enhancing and implementing policies, procedures and controls
- Provide real-time answers to manager and representative questions and escalations regarding Robinhood’s Inside information and employee trading policies
- Development, testing and implementation of the Control Room Systems.
- Manage multiple, deadline-focused projects in a fast-paced environment
- Review and challenge wall crossing requests
- Assist in preparing and presenting Compliance training programs.
- Ability to handle confidential information and matters with discretion
- Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
- Proven experience of at least 5+ years in compliance.
- A basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank OR experience working for a Self-Regulatory Organization or other regulator (e.g. SEC).
- Certifications such as CRCP, CSCP, law degree
- JD or MBA
- Experience managing projects interfacing with technical and non-technical teams
- Prior experience at a broker/dealer financial services regulator (FINRA or SEC)
- Active FINRA Series 7, 9/10, 24 or 14 licenses
- Ability to work independently and cross-functionally with demonstrated results
- Strong Robinhood product knowledge
Vacancy Type: Full Time
Job Location: Westlake, TX, US
Application Deadline: N/A