Manager of Communications Compliance Job at Robinhood (Denver)

Manager of Communications Compliance

Join us in building the future of finance. Our mission is to democratize finance...

Location

United States , Menlo Park

Salary:

153000.00 - 180000.00 USD / Year

Robinhood

Expiration Date

Until further notice

Requirements

Bachelor’s Degree required
JD or MBA is a plus
7+ years working in communications compliance within financial services, preferably a Broker-Dealer or Registered Investment Advisor
3+ years in a people management role
Strong understanding of SEC, FINRA, CFTC, FTC, and FCA communication rules and frameworks
Excellent writing, analytical, and interpersonal skills
highly detail-oriented
Proven leadership experience with a collaborative, feedback-driven approach
Skilled at managing complex projects and cross-functional stakeholder groups in fast-paced environments
Experience with compliance review tools (e.g., Red Oak), data visualization (e.g., Tableau), and AI productivity tools (e.g., ChatGPT, Gemini)

Job Responsibility

Lead a team that advises, reviews, approves and audits parent company communications to ensure alignment and adherence of legal, compliance, and internal standards
Provide quality assurance checks on entity compliance reviews, ensuring consistency and that legal and compliance guidance has been properly engaged and applied
Collaborate with Communications and Marketing partners to provide proactive compliance input on campaigns, PR strategies, and new initiatives
Guide internal partners and teammates on applying compliance standards to projects and deliverables, ensuring clarity and adherence from the outset
Review, analyze, and advise on parent company and enterprise-level communications, including third-party advertising, for compliance with regulatory and firm guidelines
Serve as a principal-level approver for communications, confirming adherence to all applicable regulatory laws and internal policies
Provide enterprise-wide guidance on compliance expectations across multi-entity projects and verticals
Create clear, practical guidelines and frameworks to help teams meet evolving regulatory and firm requirements
Drive improvements to compliance processes, systems, and tools that enhance quality, scalability, and operational impact
Strengthen internal controls and governance practices across key business areas through continuous review and refinement

What we offer

Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
100% paid health insurance for employees with 90% coverage for dependents
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

Fulltime

Manager of Compliance & Reporting

We are looking for a detail-oriented compliance leader to oversee reporting, reg...

Location

United States , Louisville

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

2+ years of experience in compliance, regulatory reporting, tax reporting, or a related operational control function
Demonstrated ability to manage recurring filings, maintain documentation, and meet strict reporting deadlines
Experience with inventory reconciliation, inventory audits, and reviewing transactional records for accuracy
Working knowledge of excise tax processes, permit administration, or regulated shipment reporting is strongly preferred
Proficiency in Microsoft Excel for data review, reconciliation, and reporting analysis
Experience using NetSuite or a similar ERP system to support reporting and record management
Strong attention to detail, organizational skills, and the ability to communicate effectively across multiple departments

Job Responsibility

Direct the organization’s compliance and reporting activities across all applicable business units and partner locations
Compile, review, and submit recurring monthly reports, ensuring filings are complete, accurate, and delivered on time
Monitor excise-tax-related shipments, match monthly transaction records to payment activity, and resolve discrepancies through reconciliation
Prepare export documentation and tax recovery submissions, including claims related to returned product where applicable
Maintain required permits, licenses, and registrations, keeping records current for all covered entities and operating locations
Work closely with inventory, supply chain, and warehouse teams to validate month-end counts and support inventory reporting accuracy
Organize and lead periodic inventory reviews and annual internal compliance audits across relevant facilities and partner sites
Serve as the primary coordinator for external audits conducted by federal, state, and local agencies, including document preparation and on-site support
Examine shipping records, operational reports, and inventory data to confirm reporting accuracy and identify issues such as excess storage loss claims
Provide compliance guidance to sales, production, and shipping teams on reporting requirements, formulas, and related regulatory matters

What we offer

medical
vision
dental
life and disability insurance
401(k) plan
free online training

Manager of Compliance & Reporting

We are looking for a detail-oriented compliance leader to oversee reporting, reg...

Location

United States , Louisville

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

2+ years of experience in compliance, regulatory reporting, tax reporting, or a related operational control function
Demonstrated ability to manage recurring filings, maintain documentation, and meet strict reporting deadlines
Experience with inventory reconciliation, inventory audits, and reviewing transactional records for accuracy
Working knowledge of excise tax processes, permit administration, or regulated shipment reporting is strongly preferred
Proficiency in Microsoft Excel for data review, reconciliation, and reporting analysis
Experience using NetSuite or a similar ERP system to support reporting and record management
Strong attention to detail, organizational skills, and the ability to communicate effectively across multiple departments

Job Responsibility

Direct the organization’s compliance and reporting activities across all applicable business units and partner locations
Compile, review, and submit recurring monthly reports, ensuring filings are complete, accurate, and delivered on time
Monitor excise-tax-related shipments, match monthly transaction records to payment activity, and resolve discrepancies through reconciliation
Prepare export documentation and tax recovery submissions, including claims related to returned product where applicable
Maintain required permits, licenses, and registrations, keeping records current for all covered entities and operating locations
Work closely with inventory, supply chain, and warehouse teams to validate month-end counts and support inventory reporting accuracy
Organize and lead periodic inventory reviews and annual internal compliance audits across relevant facilities and partner sites
Serve as the primary coordinator for external audits conducted by federal, state, and local agencies, including document preparation and on-site support
Examine shipping records, operational reports, and inventory data to confirm reporting accuracy and identify issues such as excess storage loss claims
Provide compliance guidance to sales, production, and shipping teams on reporting requirements, formulas, and related regulatory matters

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

Senior Manager of Compliance

We’re looking for a Senior Manager of Compliance to help us build and maintain t...

Location

United States

Salary:

145000.00 - 170000.00 USD / Year

Acorns

Expiration Date

Until further notice

Requirements

FINRA Series 7 and 24 are required
Series 65 or 66 license or obtain it within the first 90 days
7+ years of compliance experience, SEC Registered Investment Adviser or Broker Dealer
BS / BA Degree or equivalent
Experience working with SEC and FINRA rules and regulations, specifically the SEC Marketing Rule and FINRA Rule 2210
Prior work experience with the SEC or FINRA is highly desirable
At least 2+ years of experience managing and developing team members
Demonstrated experience motivating, supporting, and developing team members
Ability to align compliance strategy with organizational goals
Strong ability to communicate compliance expectations and initiatives, clearly and effectively

Job Responsibility

Modify, update, and implement the investment adviser and broker-dealer written policies and procedures
Responsible for the annual review and refresh of the compliance department's Standard Operating Procedures (SOPs)
Identify, prioritize, and mitigate investment adviser and broker-dealer risks
Assist the CCO with SEC and FINRA examinations, inquiries, and requests
Collaborate with key business partners such as Legal, Marketing, Product, Support, and Invest Operations
Support the day-to-day compliance activities, including the review of customer complaints, marketing materials, referral program, and public communications
Develop risk management strategies and contribute to strategic compliance goals
Manage a small team of direct reports
Provide compliance insights to the CCO, CEO, and other key stakeholders
Serve as a role model by embodying and promoting the firm's cultural principles

What we offer

Competitive salary and stock options
A comprehensive benefits package to meet the needs of you and your family
Flexible paid time off
Numerous career possibilities that allow you to grow with Acorns
Talented and motivated team members who care deeply about one another, our mission, and our customers
The rare opportunity to create a new world

Fulltime

Senior Manager of IT Compliance

This role is pivotal in ensuring our technology systems, processes, and controls...

Location

United States , Eatontown, NJ

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor’s degree in Information Technology, Cybersecurity, Business, or a related field
A minimum of 8–12 years of experience in IT compliance, risk management, or cybersecurity
At least 3–5 years of leadership or management experience within a compliance-related role
Strong understanding of regulatory frameworks, including ISO 27001 and SOC 2
Proven track record in managing audits and regulatory engagements
Demonstrated ability to design, implement, and enhance compliance programs
Excellent analytical, risk assessment, and strategic thinking skills
Strong communication skills with the ability to present effectively to executive stakeholders

Job Responsibility

Develop, implement, and continuously refine the IT compliance framework to align with organizational objectives
Ensure adherence to regulatory requirements and industry standards, such as ISO 27001, SOC 2, and other relevant frameworks
Maintain and update IT policies, standards, and procedures to reflect current compliance needs
Conduct IT risk assessments, evaluate controls, and implement mitigation strategies to address identified gaps
Manage the enterprise IT risk register, including tracking risk ownership and remediation progress
Act as the primary liaison for internal and external audits, coordinating responses, evidence collection, and remediation efforts
Oversee the implementation and monitoring of IT general controls (ITGCs) and automated compliance controls
Collaborate with third-party vendors to ensure compliance with security and regulatory requirements, including due diligence and ongoing assessments
Track and evaluate regulatory changes to assess their impact on the organization's compliance posture
Develop dashboards and metrics to measure compliance effectiveness and overall risk posture

What we offer

medical
vision
dental
life and disability insurance
company 401(k) plan

Senior Compliance Risk Manager - Product Compliance

As Mercury continues its rapid growth trajectory, navigating an increasingly com...

Location

United States; Canada , San Francisco; New York; Portland; Remote

Salary:

153900.00 - 213700.00 USD / Year

Mercury

Expiration Date

Until further notice

Requirements

5–7+ years of experience in a compliance advisory or product compliance role, ideally within fintech or financial services
Deep subject matter expertise in at least one product domain: Payments/ACH, Lending, or Credit Cards
Demonstrated experience partnering with product teams on regulatory and compliance matters across the product lifecycle
Strong working knowledge of applicable consumer protection, financial crime, licensing, reporting, and conduct risk requirements relevant to your domain
Proven ability to evaluate new or emerging products, identify compliance risk, and develop practical, business-enabling solutions
Strong project management skills, including the ability to define problems, create execution plans, and drive outcomes
Excellent written and verbal communication skills, with the ability to influence stakeholders at multiple levels
Comfort operating independently in a fast-paced, ambiguous environment, with sound judgment on when to escalate issues
Curiosity, adaptability, and a willingness to engage with new product types and regulatory challenges

Job Responsibility

Work closely with cross-functional risk and product teams to bring Mercury products to market in a way that meets all relevant financial partner and regulatory compliance obligations
Ensure all processes and products under your area of responsibility comply with applicable rules and regulations
Stay up to date with any changes to applicable regulations, and implement necessary updates to impacted products to maintain compliance
Support expansion for new product launches by scoping, defining and communicating product and compliance requirements
Work cross-functionally to drive remediation efforts for products within your defined scope
Support the compliance function in defining and achieving departmental initiatives, maintaining relevant policies and procedures, developing documentation solutions, and liaising with auditors
Contribute to building a strong culture of compliance across Mercury
Partner closely with Product, Risk, Operations, and Engineering to bring Mercury products to market in a manner that meets all relevant regulatory, financial partner, and network obligations
Advise product teams throughout the product lifecycle—discovery, design, launch, and iteration—to ensure products are compliant-by-design
Identify, assess, and document compliance risks associated with new and existing products, and work cross-functionally to design pragmatic mitigation strategies

What we offer

base salary
equity (stock options)
benefits

Fulltime

Compliance Manager, International Trade Compliance

The Compliance manager will support the Director of International Trade Complian...

Location

United States , McLean

Salary:

118747.00 - 201870.00 USD / Year

Baesystems

Expiration Date

Until further notice

Requirements

8+ Years with Bachelor's Degree
Applicants must have strong leadership and communication skills and be well organized
Experience with OCR's EASE global trade management software

Job Responsibility

Ensures sector-wide compliance with all U.S. export/import laws and regulations, to include the ITAR, EAR, Customs, Foreign Trade Regulations, and other applicable federal government regulations
Draft matters of interest and investigate non-compliance matters
Prepare and draft voluntary disclosures as needed
Identify root case analysis and track completion of corrective actions
Provides guidance regarding a wide variety of trade compliance matters, including licensing, agreements, exemptions, exceptions, classification/jurisdiction, and regulatory requirements
Draft, review and update internal trade compliance policies and procedures
Collaborate with other sectors to identify and establish best practices
Participates in preparing export-related training materials and conducts and oversees export training to all relevant employees
Prepare technical assistance agreements and help oversee authorization management program
Conducts, participates in, and prepares for export compliance audits on a periodic basis

What we offer

health, dental, and vision insurance
health savings accounts
a 401(k) savings plan
disability coverage
life and accident insurance
employee assistance program
legal plan
discounts on things like home, auto, and pet insurance
paid time off
paid holidays

Fulltime

Manager of Operations / Account Manager

We are seeking a Manager of Operations / Account Manager to execute service deli...

Location

United States , Los Angeles

Salary:

Not provided

Robert Half

Expiration Date

Until further notice

Requirements

Bachelor’s degree or equivalent experience required
Minimum of 5 years of leadership experience in a customer service-intensive or hospitality-focused environment
Proven track record of managing people and improving performance
Experience managing service level agreements (SLAs), KPIs, and operational metrics
Strong problem-solving, organizational, and stakeholder management skills
Demonstrated ability to implement sustainable process improvements
Experience managing vendors, room setups, reservations, and hospitality services
Proven experience interacting with C-level executives and senior leadership
Strong communication skills with humble confidence
Exceptional listening skills and the ability to anticipate needs

Job Responsibility

Establish and maintain quality-of-service delivery across Central Reprographics Office (CRO) and office printer fleet operations
Implement standardized operational processes to drive consistency and efficiency
Track operational controls and ensure management information reporting requirements are fulfilled
Execute action items from account plans
Manage overall account performance against contractual and target metrics
Ensure operations remain within agreed budgets and timelines
Escalate operational compliance and financial risk areas appropriately
Investigate and resolve escalated issues and communicate significant matters to senior leadership
Maintain continuous communication regarding critical operational issues
Develop a strong understanding of the business and the impact of services provided

What we offer

medical
vision
dental
life and disability insurance
401(k) plan

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Manager of Communications Compliance

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