Chief Compliance Officer
Robinhood is a financial services company on a mission to democratize finance for all. They offer a platform for commission-free investing in stocks, ETFs, options, and cryptocurrencies, as well as retirement accounts. The company provides educational resources and financial news to empower users to make informed investment decisions.
About Robinhood Markets, Inc.
Founded by Stanford roommates Baiju Bhatt and Vlad Tenev, Robinhood Markets, Inc. (NASDAQ: HOOD) aims to provide everyone with access to financial markets, not just the wealthy. The company introduced commission-free trading, revolutionizing the industry. In the U.S., Robinhood offers investing through Robinhood Financial LLC, crypto trading via Robinhood Crypto, LLC, and spending/rewards cards through Robinhood Money, LLC and Robinhood Credit, Inc. They have expanded internationally, offering stock trading in the UK through Robinhood U.K. Ltd. and crypto trading in the EU via Robinhood Europe, UAB. Robinhood also provides educational content through Robinhood Learn and financial news via Sherwood Media, LLC, supporting a new generation of investors with user-friendly products.
Skills
About the Role
You will design, implement, and manage the derivatives compliance program for futures, event contracts, and options on futures. You will serve as the primary compliance contact for regulators, advise on new product launches and policy changes, oversee exams and audits, review marketing for regulatory alignment, and coordinate responses with Legal, Risk, and Internal Audit. This role requires in-person attendance in Chicago or New York.
Requirements
- 8+ years of experience in financial services compliance including at least 5 years focused on futures derivatives or related products
- Active FINRA Series 3 license
- Strong knowledge of CFTC and NFA regulations
- Experience developing and maintaining compliance policies procedures and control frameworks
- Ability to analyze regulatory requirements and translate them into actionable guidance
- Experience working with regulators or prior experience at a regulatory agency such as the CFTC or NFA
Responsibilities
- Lead and maintain the derivatives compliance program including policies procedures and internal controls
- Advise business teams on regulatory requirements for futures event contracts and options on futures
- Oversee regulatory interactions including exams inquiries and reporting obligations
- Coordinate responses with Legal Risk and Internal Audit
- Review marketing and promotional materials for regulatory alignment
- Support firm initiatives impacting derivatives compliance such as system implementations and risk programs
Benefits
- Performance driven compensation with bonus programs equity ownership and 401(k) matching
- 100% paid health insurance for employees with 90% coverage for dependents
- Lifestyle wallet flexible benefits spending account for wellness and learning
- Employer-paid life and disability insurance fertility benefits and mental health benefits
- Paid time off company holidays sick time and parental leave
- Office experience with catered meals events and comfortable workspaces