About the team + role
We are looking for a parent company communications compliance reviewer at Robinhood. This role will be responsible for reviewing/approving, advising, and auditing retail communications content to ensure compliance with regulatory requirements and internal guidelines. The successful candidate will support the team in guiding internal business clients (Web/Social Strategy, Corporate Communications, Public Relations, Investor Relations, ESG, Talent Acquisition, Financial News/Media group, International) on the compliance of public facing communications and related projects to ensure we meet our requirements under Firm policy, SEC rules, FTC rules, FINRA regulations and other applicable regulatory agency requirements.
We expect this person to bring their personal area of subject matter expertise to provide a bias towards action while driving multiple initiatives.
It is preferred that this role is located in one of the office locations listed on this job description which will align with our in-office working environment. This position is only eligible for remote work in limited geographies within the US where we do not have physical office locations. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.
What you’ll do
- Review, analyze, and advise internal clients on the adherence of parent company/enterprise-level communications and certain third party advertising units with compliance and firm guidelines
- Principal-level review (approve) communications to ensure they meet applicable regulatory laws as well as firm standards
- With an enterprise-level lens /perspective, guide internal clients and teammates on compliance for projects and deliverables
- Draft practical guidelines for internal clients to ensure compliance with regulatory and firm requirements
- Develop and implement process and system improvements to increase quality, effectiveness, impact and scalability
- Review and improve internal control and governance frameworks across different areas of the business
What you bring
- Bachelor’s Degree, or equivalent experience in legal/compliance role in financial services industry
- 3-5+ years working in communications compliance or related function/role
- Self-starter with ability to work independently with minimal supervision, often on larger, complex compliance issues/projects
- Flexibility in daily workflow, ability to work cross functionally with partners in multiple departments (legal, compliance, various marketing/communications teams and other support services providers - engineering) and a consummate team player
- Ability to effectively manage multiple priorities and adapt to a changing environment
- Strong written and verbal communication, strategic, negotiation skills and strong attention to detail
Bonus Points
- FINRA Series 7 OR 24
- General financial services industry experience within legal, compliance, audit or risk management OR SEC or FINRA regulatory experience OR specifically broker dealer legal and/or marketing compliance experience.
What we offer
- Market competitive and pay equity-focused compensation structure
- 100% paid health insurance for employees with 90% coverage for dependents
- Annual lifestyle wallet for personal wellness, learning and development, and more!
- Lifetime maximum benefit for family forming and fertility benefits
- Dedicated mental health support for employees and eligible dependents
- Generous time away including company holidays, paid time off, sick time, parental leave, and more!
- Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits
