Summary

About the team + role

The Internal Audit function provides independent, objective, reliable, valued and timely assurance regarding the effectiveness of governance, risk management, and internal controls that mitigate current and emerging risks and help strengthen the internal control's ecosystem.

The Internal Audit team at Robinhood provides governance and oversight for the Company and across its regulated entities. The function also facilitates communication of risk management information between the regulated entities’ RHM leadership, and the Company’s Board of Directors and its Committees, strengthening the Company’s risk management, internal controls, and governance.

Robinhood Markets (RHM) is the parent company of various lines of business, including Brokerage, Crypto, and Cash services. We are looking for a Senior Associate to join the Internal Audit Team at Robinhood.

The role is located in the office location(s) listed on the top of 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

As an Internal Audit Senior Associate, you will partner with IA leaders to identify areas of risk, document and test controls and make recommendations that support improvements to the control environment. In this role, you will: 

1. Support the execution of audits in the areas of Compliance & Operations within our broker-dealers, registered investment advisor, and derivatives businesses in line with the Internal Audit plan
2. Conduct audit procedures incl. walkthroughs, testing of controls and substantive testing procedures
3. Help evaluate adequacy and efficiency of policies, procedures, systems and internal controls
4. Build collaborative relationships with business and cross-functional partners
5. Interact with business teams to understand processes and controls, tackle problems, and make recommendations for process improvements
6. Interact and collaborate with Internal Audit team members in working towards departmental goals.

What you bring

1. Bachelor’s degree in a relevant field of study
2. 3+ years of experience in financial services industry
3. 2+ years of experience working in compliance or operations space
4. Experience evaluating the design, effectiveness and regulatory requirements of processes and controls in the Compliance space within a bank, broker-dealer, registered investment advisor similar financial institutions
5. Strong focus on quality and attention to details
6. Strong communication skills
7. Strong self-starter with ability to work independently and take initiatives
8. Ability to thrive in fast-paced environments, work with ambiguity and adapt quickly to changes

Bonus points:

1. Master’s degree
2. Big 4 audit or consulting experience
3. SIE, Series 7, or Series 24 and/ or Series 99 License, CIA, CAMS and/or CFE certifications

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 salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)

$89,000 - $105,000 USD

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)

$78,000 - $92,000 USD

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)

$70,000 - $82,000 USD

Skills

• Attention to Detail
• Communications Skills
• Compliance Knowledge
• Team Collaboration