As Compliance Control Room Senior Associate, you will report to the Control Room Direcrtor, 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.
- 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.
- 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
- Support regulatory filings, exams and inquiries
- Conduct conflict clearance and escalation.
- Advise on Information Barrier Compliance issues and coordinate partner concerns
- 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
- 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;
- 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).
- Ability to handle confidential information and matters with discretion
- Familiarity with FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations
- Strong Robinhood product knowledge
- Passion for Robinhood’s products and our mission to democratize finance for all
- Recent college or law school graduate with 4+ years of compliance or legal-related experience in financial services preferred.
- JD or MBA
- Experience managing projects interfacing with technical and non-technical teams
- Certifications such as CRCP, CSCP, law degree
- Prior experience at a broker/dealer financial services regulator (FINRA or SEC)
- Active FINRA Series 7, 9/10, 24 or 14 licenses
Vacancy Type: Full Time
Job Location: Westlake, TX, US
Application Deadline: N/A