Futures Compliance Senior Specialist
Robinhood helps users invest in stocks, ETFs, options, and cryptocurrencies through commission-free trading with no minimum account requirements.
Funding history
Investors
Projects
About Robinhood
Robinhood helps retail investors access financial markets through commission-free trading of stocks, ETFs, options, and cryptocurrencies. With it, users can invest with no account minimums, earn rewards through retirement accounts with matching contributions, and access advanced trading tools. Robinhood democratizes investing by making financial markets accessible to everyone, not just wealthy investors.
Skills
Candidate Availability
About the Role
You will help run and strengthen the day-to-day compliance program for Robinhood's futures business, reporting to the RHD Chief Compliance Officer. You will draft supervisory procedures, advise product and engineering on regulatory requirements, review marketing, handle exam responses, AP registrations, surveillance alerts and customer complaints, and track rule changes. The role is based in Chicago with in-person attendance at least 3 days per week.
Requirements
- 3-5 years of compliance experience in financial services with futures and derivatives experience
- Ability to obtain NFA Series 3 within 90 days of hire
- Working knowledge of the Commodity Exchange Act, CFTC regulations and NFA rules
- Experience supporting regulatory examinations
- Experience drafting WSPs and compliance procedures
- Ability to give practical, well-documented guidance
- Strong written and verbal communication skills
Responsibilities
- Support design, operation and testing of the compliance program under the CEA, CFTC regulations and NFA rules
- Draft and maintain Written Supervisory Procedures, policies and internal controls
- Advise Product, Engineering, Operations and Legal on futures regulatory requirements
- Review and approve marketing and communications through Red Oak
- Respond to NFA, CFTC, exchange and clearing firm examinations and inquiries
- Handle Associated Person registration including Series 3 and NFA Forms 8-R and 8-T
- Respond to 4g requests
- Support regulatory filings and the NFA annual self-examination
- Support risk management program requirements under CFTC Regulation 1.11
- Review and escalate trade surveillance alerts
- Own customer complaint adjudication
- Support KYC and onboarding
- Track rule changes and translate into guidance
- Contribute to the annual CCO report, Board reporting and compliance training
Benefits
- Bonus programs
- Equity ownership
- 401(k) matching
- 100% paid health insurance for employees with 90% coverage for dependents
- Access to AI tools and AI skill-building
- Lifestyle wallet
- Employer-paid life and disability insurance
- Fertility benefits
- Mental health benefits
- Company holidays, paid time off, sick time, parental leave
- Catered meals and events