Senior Director and Chief Compliance Officer, RHD

<div class="content-intro"><h2>Join us in building the future of finance.</h2> <p>Our mission is to democratize finance for all. <a href="https://www.cerulli.com/press-releases/cerulli-anticipates-124-trillion-in-wealth-will-transfer-through-2048" target="_blank">An estimated $124 trillion of assets</a> will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.</p></div><h2><strong>About the team + role</strong></h2> <p>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.</p> <p>The Robinhood Derivatives (RHD) Compliance team oversees regulatory compliance for our futures, event contracts, and options on futures business. The team ensures adherence to Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) requirements while supporting the compliant launch of new products. You will partner closely with Legal, Risk, Supervision &amp; Controls, and business operations to maintain a strong compliance framework and support regulatory engagement. This team plays a critical role in enabling product innovation while maintaining regulatory integrity!</p> <p>As Chief Compliance Officer (CCO) of RHD, you will lead the design, implementation, and ongoing management of the derivatives compliance program. You will serve as the primary compliance contact for regulators and internal partners, guiding the business through evolving regulatory requirements. You will oversee policies, procedures, and control frameworks while advising on new products, risk management practices, and regulatory developments. This role also includes leading regulatory exams, audits, and supporting major business initiatives such as potential mergers or acquisitions.</p> <p>This role is based in our Chicago, IL or New York, NY office(s), with in-person attendance expected 5 days per week.</p> <p>At 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.</p> <h2><strong>What you’ll do</strong></h2> <p>&nbsp;● Lead and maintain the RHD compliance program, including policies, procedures, and internal controls aligned with CFTC and NFA requirements<br>● Advise business teams on regulatory requirements related to futures, event contracts, and options on futures, including new product launches and updates to existing offerings<br>● Oversee regulatory interactions, including exams, inquiries, and reporting obligations, and coordinate responses with Legal, Risk, and Internal Audit partners<br>● Review marketing and promotional materials to ensure alignment with applicable regulatory standards<br>● Support firm-wide initiatives impacting derivatives compliance, including system implementations, risk programs, and business changes</p> <h2><strong>What you bring</strong></h2> <p>● You have 8+ years of experience in financial services compliance, including at least 5 years focused on futures, derivatives, or related products<br>● You hold an active FINRA Series 3 license and have strong knowledge of CFTC and NFA regulations<br>● You have experience developing and maintaining compliance policies, procedures, and control frameworks<br>● You can analyze regulatory requirements and translate them into clear, actionable guidance for business teams<br>● You have experience working with regulators or prior experience at a regulatory agency such as the CFTC or NFA</p> <h2><strong>Leadership expectations</strong></h2> <p>Our ambitious roadmap requires a great culture shaped by exceptional leaders. Here’s what we expect from them:</p> <ul> <li>Drive high performance by setting clear, focused goals, giving real-time feedback, stretching top talent, and scaling impact through focus, innovation, and tech.</li> <li>Hire and retain top talent by setting a high bar, hiring only those who raise it, investing in onboarding, and addressing talent issues quickly and fairly.</li> <li>Create community by connecting work to purpose, removing friction while prioritizing safety, building trust and inclusion, and leading from the front with integrity.</li> </ul> <h2><strong>What we offer</strong></h2> <p>● Challenging, high-impact work to grow your career<br>● Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching<br>● Best in class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents<br>● Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more<br>● Employer-paid life &amp; disability insurance, fertility benefits, and mental health benefits<br>● Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!<br>● Exceptional office experience with catered meals, events, and comfortable workspaces.</p><div class="content-pay-transparency"><div class="pay-input"><div class="description"><p><strong>In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.</strong></p> <p>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.</p> <p><span style="text-decoration: underline;">Base Pay Range:</span></p></div><div class="title">Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)</div><div class="pay-range"><span>$255,000</span><span class="divider">&mdash;</span><span>$300,000 USD</span></div></div><div class="pay-input"><div class="title">Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)</div><div class="pay-range"><span>$224,000</span><span class="divider">&mdash;</span><span>$264,000 USD</span></div></div><div class="pay-input"><div class="title">Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)</div><div class="pay-range"><span>$199,000</span><span class="divider">&mdash;</span><span>$234,000 USD</span></div></div></div><div class="content-conclusion"><p>Click <a href="https://careers.robinhood.com/benefits" target="_blank">here</a> to learn more about our Total Rewards, which vary by region and entity.</p> <p>If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.</p> <p>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&nbsp;<a href="https://careers.robinhood.com/applicantprivacypolicy" target="_blank">Privacy Policy</a> for your country of application.</p></div>