Compliance Testing and Monitoring Specialist

<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>The Testing &amp; Monitoring team’s mission is to ensure operational excellence and regulatory compliance by rigorously evaluating internal controls, operational processes, and systems. We strive to proactively identify risks, validate data integrity, and drive remediation efforts to maintain the highest standards of quality across the organization.</p> <p>As a Compliance Testing and Monitoring Specialist, you will blend the evaluation of internal controls with the technical focus of quality assurance to ensure our products and systems function flawlessly. You will design and execute comprehensive tests, manage complex data validations, and collaborate cross-functionally to resolve issues and uphold strict industry regulations.</p> <h2><strong>What you’ll do</strong></h2> <ul> <li>Design, implement, and execute comprehensive control testing programs to evaluate the effectiveness of internal controls and ensure adherence to complex regulatory requirements.</li> <li>Oversee the ingestion of complex data streams, conducting rigorous QA reviews and validation checks to confirm accuracy, completeness, and functional integrity.</li> <li>Monitor supervisory oversight to verify that designated supervisors are actively executing their required reviews and approvals in accordance with internal policies.</li> <li>Investigate system anomalies, clearly document defects, and partner with engineering and product teams to quickly triage and resolve operational issues.</li> <li>Develop, track, and report on Key Performance Indicators (KPIs) and Service Level Agreements (SLAs), and prepare comprehensive reports for senior leadership and external partners.</li> </ul> <h2><strong>What you bring</strong></h2> <ul> <li><em>This position is restricted to US citizens or lawful permanent residents due to legal requirements.</em></li> <li>A Bachelor’s degree in Finance, Business Administration, Information Systems, or a related field, alongside 3 years of experience in Audit, Risk Management, Compliance, or Quality Assurance.</li> <li>FINRA SIE and Series 7 licenses required</li> <li>FINRA Series 24 required or obtained within 120 days of hire&nbsp;</li> <li>Deep familiarity with financial regulatory frameworks and policy management, ideally within FinTech, financial services, or another highly regulated industry.</li> <li>Strong analytical problem-solving skills with a proven ability to analyze complex data sets, validate data ingestion, and translate findings into actionable insights.</li> <li>Demonstrated client-facing experience, with the ability to effectively present findings, address inquiries, and ensure the successful delivery of critical reports and deliverables.</li> <li>Excellent written and verbal communication skills to articulate complex compliance issues to diverse audiences, paired with proficiency in issue-tracking software, reporting tools, and testing frameworks.</li> </ul> <h2><strong>What we offer</strong></h2> <ul> <li>Challenging, high-impact work to grow your career.</li> <li>Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.</li> <li>Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.</li> <li>Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more.</li> <li>Employer-paid life &amp; disability insurance, fertility benefits, and mental health benefits.</li> <li>Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!</li> <li>Exceptional office experience with catered meals, events, and comfortable workspaces.</li> </ul> <p>We’re looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you’re ready to give 100% in helping us achieve our mission—we’d love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.</p> <p>Robinhood embraces a diversity of backgrounds and experiences and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. Please review the specific Robinhood Privacy Policy applicable to the country where you are applying.</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>$94,000</span><span class="divider">&mdash;</span><span>$110,000 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>$82,000</span><span class="divider">&mdash;</span><span>$97,000 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>$73,000</span><span class="divider">&mdash;</span><span>$86,000 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 mis