Summary

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. TradePMR/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.

The Compliance team at TradePMR (TPMR), drives a culture of compliance that actively supports the people, processes and technologies vital to our business. We strive to craft and implement effective compliance programs to protect customers, promote market integrity, and reduce regulatory, financial, operational and reputation risk.

TradePMR is seeking a detail-oriented and proactive Senior Compliance and Risk Specialist to support the ongoing activities of the Compliance Department. This position plays a key role in maintaining the firm's regulatory standards and internal compliance controls, with particular focus on due diligence, communications review, and regulatory onboarding processes.

This role is based in our Clearwater, FL office, with in-person attendance expected at least 3 days per week.

At TradePMR/Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.

What you’ll do day-to-day:

1. Conduct onboarding due diligence reviews of prospective RIA firms and existing firms on an ongoing basis
2. Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standardsReview flagged email communications
3. Experience with RIA compliance procedures and documentation
4. Assist with annual Written Supervisory Procedures (WSP) testing
5. Support AML processes including Customer Identification Program (CIP), Know Your Customer (KYC), and money movement monitoring
6. Perform additional duties as requested by the CCO
7. Knowledge of FINRA, SEC, and AML regulationsPartner closely with various business units within TradePMR and Robinhood
8. Review, analyze, and advise stakeholders on the adherence of compliance and internal guidelines
9. Develop and implement process improvements to increase quality and scalability
10. Establish program efficiencies and enhance processes within the team
11. Build strong relationships and align compliance strategy among different stakeholders
12. Guide internal customers on compliance for projects and deliverables

About you:

1. Bachelor’s Degree
2. FINRA Series 7 and 24. 
3. 5+ years working in compliance or a relevant function
4. Ability to effectively manage multiple priorities and adapt to a changing environment
5. Good written and verbal communication, strategic, negotiation skills and strong attention to detail
6. General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication

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)

$115,000 - $135,000 USD

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

$101,000 - $119,000 USD

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

$89,000 - $105,000 USD

Skills

• Communications Skills
• Compliance Knowledge
• Risk Analysis
• Strategic Thinking
• Team Collaboration