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Senior Manager of Compliance Communications

Company: Robinhood
Location: New York
Posted on: September 25, 2022

Job Description:

About the team:
The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC ("RHF"), drives a culture of compliance that actively supports the people, process and technologies vital to our business. We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk. The Senior Manager of Compliance Communications will be responsible for reviewing, advising, auditing, and Principal Reviewing - PR (approving) retail communications content (which includes advertising & marketing) to ensure compliance with regulatory requirements and internal guidelines. The Sr. Manager will support the team in guiding internal customers (Marketing, Social, Communications, Public Relations (PR), Research and Product) teams on the compliance guidelines for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.
What you'll do day-to-day:


  • Lead a team of communication specialists to ensure compliance guidelines for communications are followed
  • Develop and implement process improvements to increase quality and scalability
  • Establish program efficiencies and enhance processes within the team
  • Build strong relationships and align compliance strategy among different stakeholders
  • Review, analyze, and advise stakeholders on the adherence of communications with compliance and internal guidelines
  • Principal Review (approve) communications materials to ensure it meets regulatory and internal standards
  • Guide internal customers and staff on compliance for projects and deliverables
  • Conduct internal Quality Assurance of the communications compliance review process and final approved marketing pieces

    About you:

    • Bachelor's Degree
    • FINRA Series 7 and 24
    • 7+ years working in compliance or a relevant function
    • 5+ years managing people or leading teams
    • Ability to effectively manage multiple priorities and adapt to a changing environment
    • Good written and verbal communication, strategic, negotiation skills and strong attention to detail
    • General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication

      Bonus points:

      • FINRA Series 4

Keywords: Robinhood, New York , Senior Manager of Compliance Communications, Executive , New York, New York

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