Financial Crimes, Surveillance Senior Associate

Join a leading fintech company that's democratizing finance for all.

Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is 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.

As we continue to build...

We're seeking curious thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

About the team:

The Financial Crimes Team at Robinhood works across a number of verticals in an effort to protect our customers, and ensure compliance with all relevant Anti-Money Laundering and Sanctions rules and regulations.

The Surveillance Senior Associate will be a senior contributor working with a team responsible for designing and implementing trade surveillance processes and controls. This includes monitoring exception reports to identify potential market manipulation and suspicious activity as well as testing and implementing new surveillance controls. The successful candidate will support the team in monitoring customer behavior to ensure we meet our requirements under Firm policy, BSA, FinCEN guidance, SEC rules, and FINRA regulations.

What you'll do day-to-day:

• Perform trade surveillance reports, identify, and investigate anomalies
• Make determinations and document case findings
• Investigate activity related to regulatory inquiries
• Provide feedback and collaborate with team members to calibrate and enhance exisiting trade surveillance controls and establish new surveillances
• Develop and implement operational improvements to increase quality and scalability
• Participate in cross-functional, ad hoc projects

About you:

• Bachelor's Degree
• Experience with compliance related to equities and options
• 3+ years working in compliance, financial services operations or a relevant function
• General understanding of brokerage operation and compliance functions
• Self-starter with ability to work independently
• Strong written and verbal communication, analytical skills and strong attention to detail
• Ability to effectively manage multiple priorities and adapt to a changing environment

Bonus points:

• FINRA Series 7 and 24
• Experience with Nasdaq SMARTS Trade Surveillance system
• Experience with Actimize case manager

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 promotes diversity 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. To review Robinhood's Privacy Policy please visit Robinhood - US Applicant Privacy Policy.

Click here to learn more about Robinhood's Benefits.

Robinhood is a primarily remote company. If hired, you will work as a remote employee unless the job you are applying for has a different working model specified. Please reach-out to your recruiter if you have any questions regarding the job's working model.