Internal Audit Senior Manager, Brokerage and Clearing Operations
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, removing fees, and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.
Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work. We are proud of the world class products and company culture we continue to build and have been recognized as:
- A Great Place to Work
- A CNBC Disruptor 50 in 2019 and 2020
- A LinkedIn Top Startup in 2017, 2018, 2019 and 2020
Robinhood is backed by leading investors that include DST Global, Index Ventures, NEA, Ribbit Capital, Thrive Capital, and Sequoia.
Check out life at Robinhood on The Muse!
About the team:
Internal Audit is looking for an experienced Senior Manager to join our growing team.
What you’ll do day-to-day:
- Assist Audit leadership with the development of the Internal Audit plan and the overall strategic direction of the Internal Audit program
- Be accountable for the achievement of Internal Audit objectives as they align to our strategy and company OKRs
- Be responsible for the execution of end-to-end audit procedures in the audit lifecycle: plan and lead audits to assess controls and processes in the areas of brokerage operations and clearing, incl. audit planning, execution, reporting and remediation validation
- Lead assessment of key controls in areas such as ICOC, written supervisory procedures (WSP), company-specific operational requirements for with SEC, FINRA, federal and state regulations
- Work on executive reporting and facilitate internal and external communications, including interactions with regulators
- Lead a team of auditors, coordinate and review their work as well as help grow our internal audit team
- Commit to continuous skills and knowledge development regarding broker-dealer trends, emerging risks, and internal audit tools and techniques
- Advocate for and implement continuous improvement of our internal controls
- Build strong and positive relationships with business and cross-functional partners
- Partner on continuous development and enhancement of Audit practice to align with the overall objective and goals of the Audit function (including development of frameworks, metrics, procedures, partnerships, communications and training programs).
- Bachelor’s degree in a relevant field
- 8+ years of experience in an internal audit role
- 4+ years of experience at a broker-dealer
- 4+ years of people management experience, including mentorship and developing talent
- In-depth knowledge and understanding of FINRA, SEC and other applicable broker-dealer regulations
- Build positive relationships and have strong communication skills
- Have strong focus on quality and attention to details
- Experience in end-to-end audit cycle management and independently operate in a fast-paced, dynamic environment while leading multiple projects and initiatives
- Master’s degree in a relevant field
- Experience evaluating the design, effectiveness and regulatory requirements of processes and controls within a bank, broker-dealer, or similar financial institutions
- Experience in using data analytics
- Big 4 consulting experience
- SIE, Series 7, Series 24 and/ or Series 99 License or other relevant industry certifications
- CPA, CFA and /or CIA certifications
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.
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