Provide expert guidance and serve as an escalation point for stakeholders, offering strategic advice on complex compliance interpretations and internal guidelines
Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standards
Develop and establish program efficiencies and lead process enhancements within the team to increase quality and scalability
Build strong relationships and lead compliance strategy among different stakeholders
Guide internal customers on compliance for projects and deliverables
What you bring
Bachelor's Degree
FINRA Series 7 and 24. Series 4 is not a requirement, but must be willing to acquire within 120 days of starting.
7+ years working in compliance or a relevant function, with a proven track record of leading projects
Experience with Advertising review tools such as Red Oak, Saifr, PerformLine, or similar workflow management systems.
Deep, practical expertise with FINRA communications rules (e.g., 2210 and 2220) and related SEC/FINRA supervision and books-and-records requirements.
Experience as a registered principal reviewing and approving communications with the public (CwP), especially high-risk topics like options, margin, and promotions.
Prior experience leading or mentoring a team is preferred.
Ability to effectively manage multiple priorities and lead a team through to a fast paced, changing environment
Strong 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
Benefits
Challenging, high-impact work to grow your career.Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more.Employer-paid life & disability insurance, fertility benefits, and mental health benefits.Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!Exceptional office experience with catered meals, events, and comfortable workspaces.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% inHealth insuranceVision insurance401(k)Flexible scheduleEquity / stock optionsPerformance bonusParental leave
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.
The Compliance team at Robinhood Securities, LLC ("RHS"), and Robinhood Financial, LLC ("RHF"), drives a culture of compliance that actively supports the people, process 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.
As the Compliance Communications Team Lead, you will translate aggressive compliance goals into clear objectives, acting as a talent multiplier who scales the team's impact through focus and innovation. You will exercise expert judgment and strategic thinking to influence technical direction and lead the review, audit, and approval (Principal Review) of retail communications, including advertising and marketing, to ensure strict adherence to regulatory requirements.
You will lead and align compliance strategies across diverse stakeholders, including Marketing, Social, and Product teams, to ensure all customer-facing content meets SEC, FINRA, and internal policy standards. By guiding internal partners on complex projects, you will ensure our communications remain compliant while supporting the firm's growth and protecting our reputation in a fast-paced environment.
This role is based in our New York, NY, Chicago, IL, Denver, CO, and Lake Mary, FL offices, 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.
Robinhood · Chicago, IL