Compliance Senior Manager, RHM Control Room

Written By Plamen Petkov

Robinhood

Remote or in Robinhood locations

About the team: 

Robinhood Markets (“RHM”) Compliance is Robinhood’s parent company group, and the Control Room Team within RHM Compliance is responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's clearing/advisory side businesses (e.g., Corporate Development, Syndicate, Securities Lending, Stock Loan, Procurement, Finance and Risk) and public side businesses (e.g., Securities, , introducing broker/dealer, cryptocurrency). Additionally, the Control Room is tasked with staying close to M&A and Partnership transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.

As Compliance Control Room Senior Manager, you will report to the Robinhood Chief Compliance Officer, and will be responsible for staffing and building a control room for Robinhood, implementing tools and technology to support it, drafting and implementing standard operating procedures, and managing and leading the team. 

What you’ll do day-to-day:

  • 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

  • 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

  • Review and challenge wall crossing requests

  • Assist in preparing and presenting Compliance training programs

  • Develop, test and implement the Control Room Systems

  • Manage multiple deadline-focused projects in a fast-paced environment

  • 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

About you:

  • Passion for Robinhood's products and our mission to democratize finance for all

  • Proven experience of at least 7-10 years in compliance

  • Prior experience leading and managing teams

  • 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

  • Comprehensive knowledge of FINRA and SEC regulations, including practical applications of regulatory rules in broker-dealer operations

  • Collaborative mindset

  • Ability to work independently and cross-functionally with demonstrated results

  • Resourceful and adaptive in fast-paced, entrepreneurial environment

Bonus points:

  • Strong Robinhood product knowledge

  • 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

  • Certifications such as CRCP, CSCP, law degree

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 rbnhd.co/applicant-privacy.

Robinhood's benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).




Plamen Petkov
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