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About the team + role
We are building an elite team, applying frontier technologies to the world's biggest financial problems. We're looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn't a place for complacency, it's where ambitious people do the best work of their careers. We're a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards.
Robinhood Derivatives, LLC (RHD) is Robinhood's CFTC-regulated futures commission merchant and NFA member, offering customers access to futures, options on futures, and event contracts. The RHD Compliance team is small, hands-on, and in build mode. We partner with Legal, Risk, Operations, Product, and Engineering to launch new derivatives products the right way, with clear regulations helping us build, innovate, and scale with confidence.
As the Futures Compliance Senior Specialist, you will directly report to the Chief Compliance Officer of RHD and be a core member of the team. You will help run and strengthen the day-to-day compliance program for our futures business, from policies and supervision to product reviews, marketing approvals, and regulatory interactions. This is a hands-on role for someone who knows futures regulation well and wants to help shape a program as the business grows.
This role is based in our Chicago, IL office , with in-person attendance expected at least 3 days per week.
What you’ll do
- Support the design, operation, and ongoing testing of the RHD compliance program under the Commodity Exchange Act, CFTC regulations, and NFA rules
- Draft, update, and maintain Written Supervisory Procedures (WSPs), policies, and internal controls as products, rules, and business processes change
- Advise Product, Engineering, Operations, and Legal on the regulatory requirements for new and existing futures, options on futures, and event contract offerings, including customer-facing flows and disclosures
- Review and approve marketing, social media, and other communications for compliance with NFA and CFTC standards, working through our Red Oak review workflow
- Complete regulatory and exchange responses, including timely, accurate responses to NFA, CFTC, exchange, and clearing firm examinations, inquiries, and document requests, and track remediation of any findings through to closure
- Handle the registration process for Associated Persons (APs), including Series 3 testing and registration and the filing of NFA Forms 8-R (registration) and 8-T (termination) in NFA's Online Registration System, and keep AP registration records current
- Respond to 4g requests
- Support regulatory filings and recurring obligations, including the NFA annual self-examination and required notices and reports
- Support the firm's risk management program requirements under CFTC Regulation 1.11, and contribute to compliance monitoring, testing, and reporting to senior management
- Review and escalate trade surveillance and monitoring alerts, working with Risk, Trading, and Operations to investigate and document outcomes
- Own the customer complaint adjudication process for the futures business, from intake and investigation through resolution, documentation, and trend reporting
- Support KYC and customer onboarding processes as they relate to the futures business
- Track CFTC, NFA, and exchange rule changes and industry developments, and translate them into clear, practical guidance for the business
- Contribute to the annual CCO report, Board reporting, and compliance training for RHD personnel
What you bring
- 3-5 years of compliance experience in financial services, with direct experience in futures and derivatives at an FCM, introducing broker, exchange, clearing firm, or regulator (NFA or CFTC)
- Active NFA Series 3 (National Commodity Futures Examination) is not required, but a nice-to-have. Ability to obtain it within 90 days of hire is required.
- Working knowledge of the Commodity Exchange Act, CFTC regulations, and NFA rules, including supervision requirements (such as NFA Compliance Rule 2-9) and communications and promotional material standards
- Experience supporting regulatory examinations, document requests, and responses to findings
- Experience drafting and maintaining WSPs, policies, and compliance procedures
- Ability to read complex rules, form a clear view, and give practical, well-documented guidance to product, engineering, and business partners who move fast
- Strong written and verbal communication skills, with sound judgment and high attention to detail
What we offer
- Challenging, high-impact work to grow your career
- Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
- Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
- Access to the best AI tools on the market and continuous AI skill-building for every employee, technical or not
- Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more
- Employer-paid life & disability insurance, fertility benefits, and mental health benefits
- Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
- Exceptional office experience with catered meals, events, and comfortable workspaces.
In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.
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. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.
Base Pay Range:
Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)$140,000—$165,000 USDZone 2 (Denver, CO; Westlake, TX; Chicago, IL)$123,000—$145,000 USDZone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)$110,000—$129,000 USD
Click here to learn more about our Total Rewards, which vary by region and entity.
If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.
AI Usage Disclosure: Robinhood uses artificial intelligence (AI) tools to support parts of our recruiting process. These tools enhance the efficiency and consistency of our hiring process; however, all hiring decisions are made by our hiring teams.
Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.
