Wednesday , November 29 2023

Robinhood Jobs in Lake Mary – RHS Compliance Program & Project Manager

Website Robinhood

Job Description:

The RHS Compliance Program and Project Manager is a wide-ranging role that is responsible for the organization of RHS’ compliance programs, supervisory system and RHS’ Compliance projects. The role will work to coordinate and scale existing processes as well as identify, design and implement new processes in support of an efficient and effective compliance program. Expect to work with cross-functional partners including Clearing Operations, Risk, Product Management, Market Operations, Legal, Engineering, Information Security, Internal Audit as well as third-party vendors to ensure a strong compliance foundation and operational readiness at scale. The Compliance Program and Project Manager must be familiar with compliance areas such as policy and procedure governance, records management, GRC tools, information technology, monitoring, testing and controls as well as possess strong project management capabilities.

We expect this person to bring his/her personal area of subject matter expertise to provide leadership, culture of compliance and a bias towards action while driving multiple initiatives.


Job Responsibilities:

  • Identify, organize and ensure that the RHS and shared service programs are properly supervised and well maintained. Programs such as:
  • Records Management, Cybersecurity, Clearing Operations, Risk, AML and Financial Crimes
  • Plan, organize, coordinate, manage and report status on RHS compliance initiatives and projects; facilitate administrative aspects of project management
  • Align aspects of people, process and technology and lead various teams from concept to implementation
  • Design and build new processes that do not currently exist or assist with the transition of established functions or responsibilities.
  • Assist with aspects of audits and examinations; including remediation of findings and identified gaps
  • Ensure Programs and Operational teams are ready with adequate resources, information and procedures required to support existing as well as new products or processes
  • Surface discovered issues as well as needed operational enhancements and manage those matters to efficient and compliant resolutions
  • Work with multiple cross-functional partners throughout our dynamic enterprise to assess issues, synthesize sophisticated information, build consensus, and design solutions
  • Organize and prepare management information relating to initiatives, identified issues and corrective action plan progress

Job Requirements:

  • Bachelor’s Degree in relevant field
  • 5+ years working at a broker-dealer or other financial institution in program or project management, product operations, consulting, regulatory compliance, compliance tools, audit or controls testing
  • Exceptional organizational and project management skills
  • Excel at building and maintaining trusted partnerships in a matrixed organization
  • Familiarity with processes and regulations relevant to brokerage back-office functions such as: cashiering, securities processing, settlements, securities lending and margin
  • Familiarity with change management protocols and risk processes
  • Experience with control environments and supervisory aspects of FINRA 3110, 3120 and 3130
  • Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities
  • Motivation to be a self-starter with ability to work independently
  • Eager with great communication and relationship management skills

Job Details:

Company: Robinhood

Vacancy Type:  Full Time

Job Location: Lake Mary, FL, US

Application Deadline: N/A


Apply Here