Assistant General Counsel, Regulatory

Responsibilities

• Navigate complex regulatory frameworks to help the business design innovative financial products and services
• Identify and draft necessary changes to the firm's systems and procedures to meet the requirements of new rules/regulations
• Engage with regulators, including the SEC and FINRA, and other external parties
• Draft agreements, policies and procedures, disclosures, account documentation and website materials
• Review marketing materials, advertisements, and other communications with the public
• Resolve customer account issues related to estates, bankruptcies, powers of attorney, and related matters.
• Monitor SEC/FINRA and SRO rule developments and making resulting recommendations
• Research securities and brokerage questions and providing legal analysis and recommendations
• Partner cross-functionally with teams including litigation, compliance, product and government affairs
• What you bring
• J.D. degree (or foreign equivalent) and membership in at least 1 U.S. state bar
• 10+ years of legal practice experience specializing in advising retail broker-dealers
• Knowledge or expertise in the rules and regulations relevant to broker-dealers, including for example: sales practice rules, Reg BI, Form CRS, licensing and registration, communications with the public, and books and records
• Experience supporting different types of brokerage accounts, including for example, IRAs, trusts, and custodial accounts.
• Track record of developing practical solutions to novel problems
• Exceptional project management and communication skills
• In-house legal experience
• Experience at a federal or state financial regulatory agency
• Experience with finance, technology or start-up organizations
• Ability to provide practical, strategic and business-oriented legal advice
• Ability to effectively manage multiple time sensitive tasks and react to ever-shifting priorities
• Experience drafting comment letters, working with industry trade groups, and engaging in rulemaking and legislative advocacy efforts
• Experience working with options, privacy, advisory, and cryptocurrency is a plus

Benefits

Additional Information

Join us in building the future of finance. 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 + role We 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. 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. Robinhood is looking for an Assistant General Counsel to join our growing Regulatory legal team. We are looking for an attorney with experience in retail broker-dealer regulation who is excited to work at the intersection of regulation, technology, and finance. We are looking for a highly adaptable and collaborative person who can handle ambiguity and rapidly shifting priorities with flexibility and perseverance. This is an exciting opportunity to join a growing company and support our mission to democratize finance for all. This role is based in our New York, NY; Washington DC; or Menlo Park, CA office(s), with in-person attendance expected at least 3 days per week. At 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.

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