Chief Compliance Officer, TPMR
Company: Robinhood
Location: Gainesville
Posted on: July 1, 2025
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Job Description:
Robinhood Markets was founded on a simple idea: that our
financial markets should be accessible to all. With customers at
the heart of our decisions, Robinhood and its subsidiaries and
affiliates are lowering barriers and providing greater access to
financial information. Together, we are building products and
services that help create a financial system everyone can
participate in. With growth as the top priority The business is
seeking curious, growth-minded thinkers to help shape our vision,
structures and systems; playing a key-role as we launch into our
ambitious future. If you’re invigorated by our mission, values, and
drive to change the world — we’d love to have you apply. About the
team role The TradePMR team empowers financial professionals with
innovative technology and unparalleled support tailored to the
unique needs of the RIA community. We are a custodial services and
technology provider offering a robust platform including portfolio
management, digital account opening, and advanced trading tools to
help advisors streamline operations and grow their practices. The
Chief Compliance Officer is responsible for ensuring compliance
with all state and federal laws and FINRA rules and regulations.
This includes reviewing all potential RIA firms and assessing any
potential risks to the firm. The role is located in the office
location(s) listed on 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 Provide strategic executive
leadership for the firms compliance and legal operations.
Responsible for the building and maintenance of the broker-dealer
compliance program. Continuously develop and refine internal
controls, policies, and supervisory procedures ensuring compliance
with regulatory requirements and adapting to business needs and
regulatory changes. Collaborate directly with the rest of the
executive team to mitigate risk - proactively identifying trends
and adapting the compliance program appropriately; Conducting
annual risk assessments and establish key controls to mitigate
those risks. Act as AMLCO - build, test, and maintain a
comprehensive AML program, including annual reviews and
certifications. Lead the development, implementation and
maintenance of the Cybersecurity Program. Act as the primary point
of contact for all regulatory inquiries and examinations; stay
current on FINRA Rules, the Investment Advisers Act of 1940, and
other relevant securities laws. Develop and implement regular and
ongoing compliance training for company personnel and serve as a
resource for all RIA compliance issues. What you bring Bachelor’s
Degree or equivalent experience in Finance or a related field;
Series 7/24 required; S53 preferred. 10 years of proven experience,
with at least 5 years in executive-level compliance; IACCP®
preferred. Strong technical and practical knowledge of the
Financial Securities Industry and its rules and regulations.
Impeccable integrity, ethics and values that are demonstrated
through sound judgment. Exemplary interpersonal skills and ability
to effectively communicate with colleagues at every level, as well
as regulatory authorities. Proven track record of navigating legal
matters and anticipating liabilities as laws, regulations,
products, and technology evolve. What we offer Market competitive
and pay equity-focused compensation structure 100% paid health
insurance for employees with 90% coverage for dependents Annual
lifestyle wallet for personal wellness, learning and development,
and more! Lifetime maximum benefit for family forming and fertility
benefits Dedicated mental health support for employees and eligible
dependents Generous time away including company holidays, paid time
off, sick time, parental leave, and more! Lively office environment
with catered meals, fully stocked kitchens, and geo-specific
commuter benefits We use Covey as part of our hiring and / or
promotional process for jobs in NYC and certain features may
qualify it as an AEDT. As part of the evaluation process we provide
Covey with job requirements and candidate submitted applications.
We began using Covey Scout for Inbound on September 19, 2024. 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) $213,000 - $250,000 USD Zone 2
(Denver, CO; Westlake, TX; Chicago, IL) $187,000 - $220,000 USD
Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $166,000 -
$195,000 USD
Keywords: Robinhood, Deltona , Chief Compliance Officer, TPMR, Accounting, Auditing , Gainesville, Florida
