Quality Assurance (Qa) Associate

Robinhood Lake Mary , FL 32795

Posted 2 months ago

About the company

Robinhood is democratizing our financial system. With customers at the heart of our decisions, Robinhood is lowering barriers, removing fees, and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

Robinhood is a fast-growing company and was recognized as a CNBC Disruptor 50 and a LinkedIn Top Startup in 2019. We're continuing to grow and are looking for incredible talent that can help us achieve our mission.

Robinhood is headquartered in Menlo Park, California, with offices in Lake Mary, Florida, Denver, Colorado, and London, UK.

About the role

This role will work closely with each of the AML Compliance units and investigative teams to perform Quality Assurance (QA) reviews of first and second line compliance processes. The results of these QA reviews will be critical to enhancing the global monitoring and testing processes. The ideal candidate has strong investigative and analytical skills to be able to drive individual QA reviews to resolution. This position reports to our QA Operations Manager and is in our Lake Mary, FL office.

Your day-to-day will involve:

  • Sampling and testing samples from assigned coverage units (KYC, EDD, sanctions, Investigations, etc.) on a risk-based cadence

  • Formally tracking QA results, including report writing and metrics generation, and reporting of results to assigned coverage units and AML Senior Leadership

  • Delivering results of QA reviews to individual analysts and validating corrective actions

  • Performing targeted compliance testing, based on testing schedule, of AML/OFAC/Fraud program elements and/or processes, which includes transactional testing, developing process flows, conducting walk-throughs with process owners, and issue identification

  • Validating corrective actions taken by process owners to address issues identified during previous compliance testing exercises

  • Performing "below the line" testing of Transaction Monitoring System scenarios, alert scoring engine and any other AML models

  • Assisting other training sessions and special projects as needed such as model documentation and future phase efforts (e.g., auto-closure, segmentation, and profiling)

Some things we consider critical for this role:

  • Bachelor's Degree in relevant field

  • 1-3 years working at a broker-dealer or other financial institution in regulatory compliance

  • Familiarity with regulations relevant to broker-dealers including: Bank Secrecy Act, PATRIOT ACT, sanctions regulations, KYC requirements, or fraud requirements, as well as an understanding of applicable broker-dealer regulations (Securities Exchange Act of 1934, Regulation T, etc.) and products

  • Excellent written and oral communication skills

  • Keen attention to detail, organization, and process improvements, including gap identification and root-cause analysis capabilities

  • Motivation to be a self-starter with ability to work independently

  • Ability to effectively manage multiple priorities and adapt to a changing environment

Bonus points:

  • Passed the SIE or hold FINRA Series license(s)

  • Masters, or other graduate, degree

  • 1-2 year of Financial Crimes compliance experience

  • Management experience, or previous QA experience, over some aspect of brokerage operations, compliance, and/or BSA/AML/OFAC controls

Feeling ready to give 100% to democratizing our financial system? 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, not just those who simply check off all the boxes.


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Quality Assurance (Qa) Associate

Robinhood