Description

You will oversee the supervisory and compliance framework for Robinhood's Social platform, developing procedures, reviewing moderation systems, and assessing regulatory risk. You'll partner with Legal, Compliance, and Product teams to ensure regulatory alignment before launching new features.

Requirements

• FINRA Series 7 and 24 licenses (General Securities Principal)
• Active Series 4 license (Options Principal) or ability to obtain it
• 5+ years experience in financial services with supervisory or compliance responsibilities
• Experience evaluating digital content and trading activity for regulatory risk across equities, options, futures, crypto
• Knowledge of consumer protection regulations and securities rules applicable to retail brokerage and social communications

Responsibilities

• Create and maintain supervisory procedures for RHF and RHS related to the Social platform
• Review content moderation escalation cases and resolution processes for compliance
• Define and manage blocklists of restricted terms, tickers, and assets; monitor user restrictions
• Evaluate proposed product changes and automated systems for regulatory impact
• Provide backup coverage to the Marketing Designated Principal as needed