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Robinhood · 10 hours ago

Internal Audit Senior Associate

Chicago, IL

Full-time

Hybrid

Mid Level

$89K/yr - $105K/yr

3+ years exp

Robinhood is on a mission to democratize finance for all, and they are seeking an Internal Audit Senior Associate to support the execution of audits related to compliance and operations. This role involves evaluating risks, improving processes, and enhancing the company’s control environment across various financial services operations.

CryptocurrencyFinTechPrediction MarketsStock ExchangesTrading Platform

Responsibilities

Support audit execution for compliance and operations across broker-dealers, registered investment advisors, and derivatives businesses in line with the Internal Audit plan

Evaluate the adequacy and efficiency of internal policies, procedures, systems, and controls

Conduct walkthroughs and perform testing of controls and substantive audit procedures

Build collaborative relationships with business teams and cross-functional partners

Analyze business processes, identify areas for improvement, and provide recommendations that strengthen the control environment

Collaborate with Internal Audit team members to contribute to departmental initiatives and goals

Qualification

Audit experienceCompliance knowledgeRisk managementFinancial services experienceAttention to detailProactive attitudeCertifications SIECertifications Series 7Certifications etc.Communication skillsTeam collaborationAdaptability

Required

Bachelor's degree in a relevant field of study

3+ years of audit experience in the financial services industry

2+ years of experience in compliance or operations

Strong knowledge of compliance-related processes and regulatory expectations within financial institutions such as broker-dealers or investment advisors

Excellent attention to detail, communication skills, and a commitment to high-quality work

Proactive and self-motivated with the ability to work independently and adapt in fast-changing environments

Preferred

Experience in or exposure to auditing or working within broker-dealers, registered investment advisors (RIAs), or futures commission merchants is a plus

Advanced degree, Big 4 audit or consulting experience, and/or certifications such as SIE, Series 7, Series 24, Series 99, CIA, CAMS, or CFE are beneficial but not required