Compliance Communications Specialist


Chicago, IL, US / Denver, CO, US / Lake Mary, FL, US / Westlake, TX, US
  • Job Type: Full-Time
  • Function: Marketing/PR/Product Mktg
  • Post Date: 05/15/2024
  • Website:
  • Company Address: Menlo Park, California 94025, US

About Robinhood

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.

Job Description

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, growth minded thinkers to help shape our vision, structures and systems; playing a key-role as we launch into our ambitious future. If you’re invigorated by our mission, values, and drive to change the world — we’d love to have you apply.

About the team + role

Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and is looking for a Communication Compliance Specialist within RHF Compliance.

The Communications Compliance Specialist will be responsible for reviewing and approving retail brokerage communications to ensure compliance with regulatory requirements and internal guidelines. Under minimal supervision, the Communications Compliance Specialist will support the team in guiding internal customers (Marketing, Communications, Content, Public Relations and Product) teams on the compliance for projects and customer facing communications to ensure we meet our requirements under Firm policy, SEC rules, FINRA regulations and other regulatory agencies.

The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

Applications for this role will be accepted through April 30, 2024. Please connect with your recruiter for more information about this role’s application window.

What you’ll do

  • Analyze and review brokerage communications to ensure they meet regulatory requirements and Firm policy in order to ultimately provide principal approvals
  • Advise internal customers on the adherence of communications with compliance and internal guidelines
  • Guide internal customers on compliance for projects and deliverables
  • Develop and implement process improvements to increase quality and scalability
  • Monitor and keep up to date with regulations regarding communications and apply them

What you bring

  • Bachelor’s Degree, or equivalent experience, in a related field
  • FINRA Series 7, 63, 4 and 24 Licenses
  • 5 Years of relevant experience, 3+ years working in compliance or a relevant function
  • 2+ years of experience reviewing retail communications covering brokerage products such as stocks, exchange traded products, options, and sweep programs
  • Experience reviewing social media, video/audio, app and other online communications
  • Self-starter with ability to work independently, manage multiple priorities and adapt to a changing environment
  • Ability to effectively work with a sense of urgency and strong attention to detail
  • Excellent communication and relationship building skills and ability to articulate messages clearly and comfortably with employees at all levels

What we offer

  • Market competitive and pay equity-focused compensation structure
  • 100% paid health insurance for employees with 90% coverage for dependents
  • Annual lifestyle wallet for personal wellness, learning and development, and more!
  • Lifetime maximum benefit for family forming and fertility benefits
  • Dedicated mental health support for employees and eligible dependents
  • Generous time away including company holidays, paid time off, sick time, parental leave, and more!
  • Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter 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 salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)
$115,000—$135,000 USD
Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)
$101,000—$119,000 USD
Zone 3 (Lake Mary, FL)
$89,000—$105,000 USD

Click here to learn more about Robinhood’s Benefits.

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. To review Robinhood's Privacy Policy please review the specific policy applicable to your country.

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Disclaimer: Local Candidates Only
This company does NOT accept candidates from outside recruiting firms. Agency contacts are not welcome.