Senior Product Compliance Advisor
Skills
- Strong knowledge of FINRA and SEC regulations and their practical applications.
- Excellent communication skills to build trusted relationships with business partners.
- Advanced research, writing, and project management skills.
- Ability to work independently and cross-functionally in a fast-paced environment.
- Experience conducting REG BI and suitability reviews.
- Strong knowledge of Robinhood products.
Responsibilities
- Work with Product teams on design, development, testing, and deployment of brokerage products such as equities, options, margin, and retirement.
- Provide proactive guidance on broker-dealer regulatory requirements and act as compliance subject matter expert.
- Collaborate with legal, business, compliance, and technology partners to ensure product compliance.
- Partner with Policy & Internal Control and other risk groups to develop and implement policies, procedures, and controls.
- Provide training on securities regulations, conduct testing of policies and controls, and initiate communications on regulatory updates.
- Research and interpret regulatory rules to assess applicability to business processes.
- Support regulatory filings, exams, and inquiries.
Education
- Relevant bachelor's degree or equivalent experience in financial services or related field.
Benefits
- Market competitive and pay equity-focused compensation structure.
- 100% paid health insurance for employees and 90% coverage for dependents.
- Annual lifestyle wallet for wellness, learning, and development.
- Lifetime maximum benefit for family forming and fertility benefits.
- Dedicated mental health support for employees and dependents.
- Generous paid time off and parental leave.
- Vibrant office environment with catered meals, stocked kitchens, and geo-specific commuter benefits.
Average salary estimate
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Robinhood is a leading financial services company headquartered in Menlo Park, California. The company was founded in 2013 and currently has 23.9 million funded customers, 13.7 million monthly active users, and $130 billion in assets under custody.
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