Compliance Manager jobs in Orlando, FL

About the team role 

The Compliance Programs team is primarily responsible for policy and procedure administration as well as the design, organization and documentation of the Brokerage Supervisory System. This function also serves as a central point for remediation requiring coordination and update to process ownership and/or supervisory procedures. The team designs and implements effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk. 

The Manager of Brokerage Compliance Policy and Programs should be familiar with an array of compliance subject areas such as policy and procedure governance, records management, GRC tools, monitoring and testing, controls and remediation.The role manages a team that focuses on the collection, analysis, and tracking of Brokerage policy and program documentation as well as maintenance and administration of the Firm’s Supervisory System. 

The role is located in the office location(s) listed on this job description which will align with our in-office working environment. Please connect with your recruiter for more information regarding our in-office philosophy and expectations.

What you’ll do

• Manage a team of 3-5 individual contributors
• Oversee the Firm’s Supervisory System responsive to FINRA Rules 3110, 3120 and 3130; ensuring that the Firm’s supervisory controls are operating as intended
• Analysis, collection, maintenance and publication of Brokerage Compliance documentation including Written Supervisory Procedures (WSPs), Standard Operating Procedures (SOPs), Designation and Delegation Tables
• Oversee the Firm’s Compliance calendar, track and manage progress and completion of the firm’s compliance obligations
• Design and oversee Compliance reporting dashboards and related metrics
• Support and maintain the Firm’s Regulatory Change processes
• Oversee and design, where applicable, supervisory processes and Designated Principal ownership over the Firm’s business functions
• Partner with Monitoring and Testing, Operational and Enterprise teams to track compliance testing findings from discovery to remediation
• Oversee and support the Compliance team’s technology applications
• Support Regulatory filings, exams, and inquiries
• Perform other duties as assigned

What you bring 

• Passion for Robinhood’s products and our mission to democratize finance for all
• Bachelor’s Degree in relevant field
• 4 years Broker-Dealer experience
• Passed the SIE and hold(s) active FINRA Series 7 and 24 licenses
• Familiarity with a wide range of brokerage compliance subjects
• Familiarity with on-line brokerage business
• Experience with GRC tools; policy and procedure maintenance
• Experience building and maintaining sophisticated reporting dashboards and trackers
• Experience with Regulatory Change Management systems and processing
• Strong organizational and prioritization skills
• Excellent communication and relationship management skills
• Comfortable creating and delivering reports and presentations to management
• Motivation to be a self-starter with ability to work independently

What we offer

• Market competitive and pay equity-focused compensation structure
• 100% paid health insurance for employees with 90% coverage for dependents
• Annual lifestyle wallet for personal wellness, learning and development, and more! 
• Lifetime maximum benefit for family forming and fertility benefits
• Dedicated mental health support for employees and eligible dependents
• Generous time away including company holidays, paid time off, sick time, parental leave, and more!
• Lively office environment with catered meals, fully stocked kitchens, and geo-specific commuter benefits