Robinhood is Hiring a Director of Platforms Governance Near Denver, CO
Join a leading fintech company that’s democratizing finance for all.Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in. With growth as the top priority...The business is seeking curious, growth-minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you’re invigorated by our mission, values, and drive to change the world — we’d love to have you apply. About the team role The Governance Team with Robinhood Markets Platforms comprised of the Customer Experience and Customer Trust & Safety areas works with various Robinhood entities including the Operational and Compliance teams at Robinhood Securities, LLC ("RHS"), Robinhood Financial, LLC (“RHF”), Robinhood Crypto LLC (RHC) and Financial Crimes to drive a culture of governance and compliance that actively supports the people, process and technologies vital to our business. We strive to design and implement effective compliance and supervisory related programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk.As the Director of Platforms Governance you’ll be responsible for providing governance and compliance support for the customer experience and customer trust and safety functions to ensure their compliance and regulatory obligations are fulfilled. You’ll also work to collaborate with other business stakeholders to ensure that Platforms has the appropriate governance and compliance processes and procedures in place to support the various business units and the relevant regulators. The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.What You’ll Do
Lead the Platforms (CTS and CX) Governance and Policy team and partner across Platforms and Robinhood’s Business Entities (Brokerage, Cash, Crypto, Financial Crimes and others) to protect our customers and adhere to regulatory requirements by creating and maintaining a robust governance program
Lead the Platforms partnership with business entities to provide a feedback loop on performance levels, key metrics, outstanding issues, updates to service agreements and product launches on a regular cadence
Lead the selection of topics and preparation of materials for committee presentations, including leadership entity syncs and the Robinhood Fraud Risk Advisory Committee
Ensure the develop infrastructure for creation, implementation and maintenance of a library of policies and procedures as they relate to Platforms
Work with Robinhood’s business entities to include COO’s and CCO’s to develop and refine Platforms related policies and procedures involving those entities
Develop, maintain and provide oversight of the Platforms change management process
Ensure that Robinhood is operating a program that is in compliance with the regulatory requirements of Regulation S-ID (Identity Theft Prevention Program)
Lead the Platforms Issues management process to include intake, coordinating the resolution of issues, reporting status updates and documenting issue remediation
Oversee the handling of regulatory requests and responses provided to Compliance and Legal involving regulatory exam and investigation requests related to Platforms functions
Partner with Platforms teams to ensure teams are adhering to WSPs and service agreement requirements
Work with Robinhood’s business entities to develop and refine service agreements as necessary
Act as liaison between Internal Audit and Platforms during all examinations and reviews
Provide leadership and oversight to the vulnerable persons team lead and ensure adequate training, policies and procedures are in place across all Robinhood entities to prevent and detect the financial exploitation of senior or vulnerable persons and ensure compliance with all federal, state and SRO rules and regulations.
Provide leadership and oversight to the Supervision and Operations leaders and Consultants to ensure appropriate supervisory reviews are being conducted and documented within Brokerage, Crypto, Money and other entities as required.
Ensure the evaluation of trends and patterns for items such as complaints, regulator received items and issues
Ensure proper adherence to books and records requirements as it relates to Platforms governance
Special assignments and projects within Platforms as appropriate and required
What You Bring
8-10 years of financial services experience, bonus points for experience with broker-dealer compliance or supervision, or prior experience at a regulator
Familiarity with regulations and rules relevant to vulnerable investors
Strong communication skills that builds trusted relationships among business partners, such as business principals and registered representatives
Ability to work through ambiguity by taking responsibility, prioritizing, and meeting deadlines
Experience with indirect leadership, as this role requires frequent guiding, coaching and training other employees across the group within an area of expertise.
Advanced research, writing, and project management skills
Ability to work independently and cross-functionally with impactful results
Resourceful and adaptive in fast-paced, entrepreneurial environment
Problem solver with keen attention to detail
FINRA SIE, Series 7, Series 24 or 9/10 (or ability to obtain in 90 days)
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
Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process. Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $213,000—$250,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $187,000—$220,000 USD Zone 3 (Lake Mary, FL) $166,000—$195,000 USD Click here to learn more about available Benefits, which vary by region and Robinhood entity. 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 embraces a diversity of backgrounds and experiences 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. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.