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Financial Compliance Manager



Accounting & Finance, Legal
Posted on Thursday, May 11, 2023

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 thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.

About the team:

This role is eligible for remote work in limited geographies within the U.S. Check with your recruiter for more information.

We are building a financial compliance team responsible for establishing and maintaining our financial and accounting compliance with the relevant compliance framework. As a team member, you will be proficient in evaluating risks, processes and controls; identifying and mitigating control gaps; Collaborating with business and engineering teams and working closely with the Senior Manager of Financial Compliance and team members to support our growth and expansion; and ensuring our compliance in financial reporting (ie. SOX) and more regulatory requirements.

This position reports to the Director of Financial Compliance. We’re looking for a manager with a public accounting audit or advisory, public company fin-tech, broker-dealer, banking or other financial services background.

What you’ll do day-to-day:

  • Participate in the initiative to establish and support our SOX compliance framework including performing risk assessments, documenting walkthroughs and conducting tests of design and operational efficiency for key controls
  • Proactively harmonize across departments to evaluate new processes, or changes to existing processes for financial and operational risks before product launch, providing recommendations for improvement
  • Lead the annual and quarterly SOX certification process
  • Establish Active and effective communication with departments across Robinhood.
  • Advocate for process improvement in our system of internal controls

About you:

  • Bachelor’s degree in a relevant field of study
  • 4 Years validated experience, including financial audit/attestation preferably in a Big Four firm or a public company’s internal audit/SOX function or a combination thereof
  • Knowledge and experience in Internal Control over Financial Reporting and Disclosure Controls Procedures
  • Highly motivated, independent and proactive with strong end-to-end project management, organizational and interpersonal skills
  • Ability to partner with leaders to identify efficient solutions that resolve business process or technology control gaps
  • Proven track record to manage multiple competing priorities simultaneously and drive projects to completion.

Bonus points:

  • Experience working with Workiva Wdesk or ERM tools
  • Accounting and financial reporting knowledge, CPA preferred
  • Experience at a fintech company, high-growth startup, or broker dealer industry

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.

US Zone 1: $111000 - $130000
US Zone 2: $97000 - $114000
US Zone 3: $86000 - $101000

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. You can view comp zones for our US office locations in the table below. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Office locations (by comp zone)
US Zone 1: Menlo Park, NYC, Seattle, Washington DC
US Zone 2: Denver, Westlake (Dallas), Chicago
US Zone 3: Lake Mary

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 promotes diversity 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 visit Robinhood - US Applicant Privacy Policy. If you are an applicant located in the UK or EEA, please visit the Robinhood UK/EEA Applicant Privacy Policy.

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