Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.
About the team + roleWe are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. TradePMR/Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards.
The Compliance team at TradePMR (TPMR), drives a culture of compliance that actively supports the people, processes and technologies vital to our business. We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk.
TradePMR is seeking a detail-oriented and proactive Senior Compliance and Risk Specialist to support the ongoing activities of the Compliance Department. This position plays a key role in maintaining the firm's regulatory standards and internal compliance controls, with particular focus on due diligence, communications review, and regulatory onboarding processes.
This role is based in our Clearwater, FL office, with in-person attendance expected at least 3 days per week.
At TradePMR/Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.
What you’ll do day-to-day:- Conduct onboarding due diligence reviews of prospective RIA firms and existing firms on an ongoing basis
- Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standardsReview flagged email communications
- Experience with RIA compliance procedures and documentation
- Assist with annual Written Supervisory Procedures (WSP) testing
- Support AML processes including Customer Identification Program (CIP), Know Your Customer (KYC), and money movement monitoring
- Perform additional duties as requested by the CCO
- Knowledge of FINRA, SEC, and AML regulationsPartner closely with various business units within TradePMR and Robinhood
- Review, analyze, and advise stakeholders on the adherence of compliance and internal guidelines
- Develop and implement process improvements to increase quality and scalability
- Establish program efficiencies and enhance processes within the team
- Build strong relationships and align compliance strategy among different stakeholders
- Guide internal customers on compliance for projects and deliverables
- Bachelor’s Degree
- FINRA Series 7 and 24.
- 5+ years working in compliance or a relevant function
- Ability to effectively manage multiple priorities and adapt to a changing environment
- Good written and verbal communication, strategic, negotiation skills and strong attention to detail
- General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication
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 embraces a diversity of backgrounds and experiences 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. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.
In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.
Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.
Base Pay Range:
Click here to learn more about our Total Rewards, which vary by region and entity.
If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.
Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.
Top Skills
What We Do
Robinhood was founded on a simple idea—that our financial markets should be accessible to all. In an industry where barriers have prevailed for too long, this hasn’t always been easy. We’re leveling the playing field by making trading more intuitive, more affordable, and more inclusive to ensure that everyone, regardless of wealth or industry knowledge, feels empowered to participate in the financial system.
Full Disclosures: rbnhd.co/social_media_disclosures
Why Work With Us
Robinhood looks to hire employees who embody a high-growth mindset, set ambitious goals, make decisions independently, and who show up as accountable. The work moves fast, and resilience is key. Maintaining grit, perseverance, and self-motivation are critical to an employee's success at Robinhood, but so is staying humble and sharing credit.
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