Internal Audit - Senior Associate - Brokerage & Clearing Ops

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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, removing fees, and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in. 

Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work. We are proud of the world class products and company culture we continue to build and have been recognized as:

  • A Great Place to Work
  • A CNBC Disruptor 50 in 2019 and 2020
  • A LinkedIn Top Startup in 2017, 2018, 2019 and 2020 

Robinhood is backed by leading investors that include DST Global, Index Ventures, NEA, Ribbit Capital, Thrive Capital, and Sequoia.

Check out life at Robinhood on The Muse!

About the team: 

Internal Audit is looking for an experienced Senior Associate to join our growing team.

What you’ll do day-to-day:
  • Execute audits in the areas of brokerage and clearing in line with the Internal Audit plan
  • Conduct audit procedures incl. walkthroughs, testing of controls and substantive testing procedures
  • Help evaluate adequacy and effectiveness of policies, procedures, systems and internal controls
  • Build collaborative and trusting relationships with business and cross-functional partners
  • Interact with business teams to capture information, resolve problems, and make recommendations for business and process improvements
About you:
  • Bachelor’s degree in a relevant field of study
  • 3+ years of experience in financial services industry
  • 2+ years of experience working at a broker-dealer 
  • Experience working with and having an understanding of FINRA, SEC and other applicable broker-dealer regulations
  • Experience evaluating the design, effectiveness and regulatory requirements of processes and controls within a bank, broker-dealer, or similar financial institutions
  • Familiarity with the broker-dealer industry and related products
  • Strong focus on quality and attention to details
  • Strong communication skills
Bonus points:
  • Master’s degree in a relevant field of study
  • SIE, Series 7, or Series 24 and/ or Series 99 License or other relevant industry certifications
  • CPA, CFA and / or CIA certifications

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 click here.

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