Financial Compliance Senior Associate

Robinhood • Chicago, NY

21h • Hybrid

About The Position

Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets 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. About the team + role 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. The Financial Compliance team’s mission is to establish and maintain the company’s financial and regulatory compliance, including requirements under the Sarbanes-Oxley Act of 2002 (SOX), the COSO Internal Control Framework, and related frameworks for internal controls over financial reporting. This team works closely with Controllership teams (Corporate Accounting, Financial Reporting, Stock Administration, etc.) and external auditors to ensure compliance with the SOX 404 framework and PCAOB standards while supporting business growth! As a Financial Compliance Senior Associate, you will lead the end-to-end SOX cycle for your processes to ensure compliance in internal controls over financial reporting and other disclosure control procedures. You will partner closely with the Financial Compliance Senior Manager along with business and technology teams to identify control gaps, perform root cause analysis, implement practical solutions, and support compliance with SOX and other regulatory requirements. This role plays a key part in ensuring financial reporting integrity and audit readiness while contributing to scalable compliance practices across the organization. This role is based in our Menlo Park, CA, New York, NY, and Chicago, IL office(s), with in-person attendance expected at least 3 days per week. 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.

Requirements

• Bachelor's or Master's degree in Accounting, Finance, Information Systems, or relevant field of study
• Minimum 4 years of work experience in financial audit/attestation in a Big Four firm or a public company’s internal audit/SOX function (or a combination thereof)
• Strong knowledge of SOX 404, the COSO Internal Control Framework, and PCAOB auditing standards
• Demonstrated ownership of end-to-end SOX 404 processes across business controls, with a foundational understanding of the intersection with IT General Controls (ITGCs)
• Ability to independently plan and execute walkthroughs, testing, and evaluation of control design and operating effectiveness
• Highly motivated to work in a fast paced environment and proactive with strong project management, organizational, oral and written communication skills
• Proven ability to partner with business and technology leaders to identify optimal solutions that resolve business process or technology control gaps
• Clear written and verbal communication skills, with experience coordinating testing efforts and aligning on findings with external auditors and senior stakeholders

Nice To Haves

• Familiarity with GRC platforms (e.g., AuditBoard, Workiva) preferred

Responsibilities

• Lead the risk assessment, documentation refresh (process flowcharts), walkthroughs, and testing of design and operating effectiveness for key corporate business processes (e.g., Financial Statement Close & Reporting, Payroll, Fixed Assets & Internally Developed Software)
• Assist in the annual and quarterly SOX 404 scoping, qualitative and quantitative risk assessments, controls mapping, and the continuous identification of business process changes
• Proactively collaborate with process owners to gather information, evaluate control deficiencies, perform deep-dive root cause analyses, and track the execution of sustainable, practical remediation plans
• Partner closely with corporate teams to evaluate and revamp existing business controls, streamlining processes to ensure they scale with company growth while ensuring financial and operational risks are addressed adequately
• Evaluate new business processes, product launches, or major organizational changes to identify financial and operational risks before launch, providing strategic recommendations for upfront control design
• Serve as the primary SOX liaison for corporate business teams, bridging the gap between process owners, our internal IT SOX partners (for automated controls and IPE reliance), and external auditors to ensure seamless audit readiness and execution
• Drive ad-hoc special projects as necessary, including controls testing for KPI disclosures and Financial Statement Close & Reporting control revamp work

Benefits

• Challenging, high-impact work to grow your career.
• Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.
• Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.
• Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more.
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits.
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
• Exceptional office experience with catered meals, events, and comfortable workspaces.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior