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Senior Risk & Compliance Associate

Robinhood

Robinhood

Legal
London, UK
Posted on Sunday, April 30, 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 role:

We’re thrilled to be expanding this year as Robinhood is hiring world-class talent in the UK. Our team of Hoodies in the UK will enable Robinhood to continue creating great financial products on our journey towards democratizing finance for all.

Robinhood is looking for a Senior Risk & Compliance Associate & MLRO to help build up our Risk & Compliance team based in the United Kingdom (UK). We are looking for a compliance professional with experience in securities and brokerage regulatory compliance issues 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 patience.

As we transform the future of finance, we invite you to help us define our place in a global conversation.

Your day-to-day will include:

  • Building up the Risk & Compliance team for the future (senior role)
  • Money Laundering Reporting Officer (MLRO) responsibilities
  • Member of entity governance committees, which may include the Operational Committee, Risk & Compliance Committee, Best Execution Committee and the Product Approval & Review Committee
  • Overseeing compliance within the organization and business partners, and ensuring compliance with laws, regulatory requirements, policies and procedures
  • Responsibility for the policies and procedures designed to mitigate financial crimes risk
  • Responsible for the operational compliance processes, such as decision making on financial crime alerts resulting from customer and transaction monitoring processes
  • Reviewing risk disclosures and risk warnings in any communications or other materials to ensure compliance with local requirements
  • Monitoring business developments and ensuring that the compliance program remains fit for purpose and working on the enhancement of this where required
  • Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite
  • Responsibility for staff education, training and awareness related running ethical business operations, as well as providing guidance, advice, and training, awareness and educational programs
  • Interacting with regulators and relevant authorities on compliance issues
  • Continuously enhancing quality assurance and oversight of compliance controls to ensure program efficiency and effectiveness and increase quality and scalability
  • Partnering with parent company and affiliate risk and compliance associates to ensure consistency, alignment and communication of shared risks

About you:

  • Based out of the United Kingdom
  • Bachelor's degree or equivalent practical experience
  • 6+ years of compliance practice experience specilaizing in financial services in the UK.
  • Thorough knowledge of compliance topics like: compliant financial promotions, complaint handling, business continuity, AML/CTF, market abuse, fraud, integrity, KYC/CDD, GDPR, outsourcing, governance and risk & control frameworks
  • Exceptional attention to detail and strong problem-solving skills
  • Excellent written and oral communication skills
  • Collaborative mindset
  • Open minded, curious, knowledgeable, proactive and not being afraid of asking for help and offering help
  • Self-starter with ability to work independently and coordinate across multiple functional groups
  • Resourceful and adaptive in fast-paced, entrepreneurial environments
  • Experience working in an international decentralized and remote first team environment

Bonus points:

  • A regulatory compliance background with an FCA regulated UK retail broker
  • MLRO or similar anti-money laundering and terrorist financing experience
  • Management experience
  • Affinity with the ability to understand systems and process flows as we would need to tap into existing systems, governance and processes that are being used
  • Having the ability to take a helicopter view on governance in general and how all elements would fit and link within a fast growing financial organization. At the same time, not being shy of getting your hands dirty and actually doing the work, like writing policies
  • Demonstrated ability to scale operations and processes in a fast-paced organization and in a compliant manner.

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.

Click here to learn more about Robinhood’s Benefits.