Chief Compliance Officer, TPMR
Robinhood • Gainesville, FL, USA
Last updated 4 weeks ago
•
$143K—$215K
Robinhood
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Job description
Join a leading fintech company that’s democratizing finance for all.
Robinhood Markets was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood and its subsidiaries and affiliates are 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.
With growth as the top priority...
The business is 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
TradePMR empowers financial professionals with innovative technology and unparalleled support tailored to the unique needs of the RIA community. We are a custodial services and technology provider offering a robust platform including portfolio management, digital account opening, and advanced trading tools to help advisors streamline operations and grow their practices.
The Chief Compliance Officer is responsible for ensuring TradePMR’s compliance with all state and federal laws and FINRA rules and regulations. This includes reviewing all potential RIA firms and assessing any potential risks to TradePMR.
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.
What you’ll do
- Provide strategic executive leadership for the firm's compliance and legal operations.
- Responsible for the building and maintenance of the broker-dealer compliance program.
- Continuously develop and refine internal controls, policies, and supervisory procedures ensuring compliance with regulatory requirements and adapting to business needs and regulatory changes.
- Collaborate directly with the rest of the executive team to mitigate risk - proactively identifying trends and adapting the compliance program appropriately; Conducting annual risk assessments and establish key controls to mitigate those risks.
- Act as AMLCO - build, test, and maintain a comprehensive AML program, including annual reviews and certifications.
- Lead the development, implementation and maintenance of the Cybersecurity Program.
- Act as the primary point of contact for all regulatory inquiries and examinations; stay current on FINRA Rules, the Investment Advisers Act of 1940, and other relevant securities laws.
- Develop and implement regular and ongoing compliance training for company personnel and serve as a resource for all RIA compliance issues.
What you bring
- Bachelor’s Degree or equivalent experience in Finance or a related field; Series 7/24/53.
- 10+ years of proven experience, with at least 5 years in executive-level compliance; IACCP® preferred.
- Strong technical and practical knowledge of the Financial Securities Industry and its rules and regulations.
- Impeccable integrity, ethics and values that are demonstrated through sound judgment.
- Exemplary interpersonal skills and ability to effectively communicate with colleagues at every level, as well as regulatory authorities.
- Proven track record of navigating legal matters and anticipating liabilities as laws, regulations, products, and technology evolve.
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
We use Covey as part of our hiring and / or promotional process for jobs in NYC and certain features may qualify it as an AEDT. As part of the evaluation process we provide Covey with job requirements and candidate submitted applications. We began using Covey Scout for Inbound on September 19, 2024.
Please see the independent bias audit report covering our use of Covey here.
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.
Click here to learn more about available Benefits, which vary by region and Robinhood entity.
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.