Trade Surveillance Associate

| Remote
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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 role

The Trade Surveillance Specialist 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 market manipulation and suspicious activity as well as drafting responses to regulatory inquiries. 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

Your day-to-day will involve:
  • Perform trade surveillance reports, investigate anomalies and make determinations
  • Investigate and draft responses to regulatory inquiries
  • Provide order and trade data to regulators upon request
  • Perform data analysis to calibrate and enhance trade surveillance controls
  • Develop and implement process improvements to increase quality and scalability
  • Build trust with various internal partners by providing regulatory insights and compliance guidance.
  • 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 
  • Experience with Nasdaq SMARTS Trade Surveillance system
  • Crypto currency surveillance

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

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