IT Financial Compliance Senior Manager

Robinhood • Chicago, NY

21d • Hybrid

About The Position

The Financial Compliance team establishes and maintains Robinhood’s financial and regulatory compliance, including Sarbanes-Oxley Act (SOX) requirements and related frameworks for internal controls, IT general controls, and financial reporting. The team partners with Engineering, Security, Finance, and external auditors to ensure systems, processes, and data meet regulatory expectations while supporting business growth.

The IT Financial Compliance Senior Manager evaluates systems, databases, and processes to ensure effective control design and operation across infrastructure, change management, and financial data pipelines. The role works closely with engineering and business teams to identify control gaps, implement practical solutions, and support SOX and other regulatory requirements. It helps ensure financial reporting integrity and audit readiness while developing scalable compliance practices.

The role is based in the Menlo Park, California; New York, New York; or Chicago, Illinois offices. In-person attendance is expected at least three days per week.

Requirements

• At least 8 years of experience in IT audit, IT risk, IT compliance, infrastructure engineering, or a related field, with strong exposure to SOX IT general controls and application controls.
• Strong knowledge of cloud infrastructure such as AWS, GCP, or Azure; networking; identity and access management; and modern deployment practices, including CI/CD and infrastructure as code.
• Hands-on experience with change management processes and tools, including version control workflows, ticketing systems, release management, and emergency change procedures.
• Experience designing or testing controls over data pipelines, including data transformations, reconciliations, and monitoring practices.
• Proven ability to collaborate with engineering teams to implement practical control solutions and explain control requirements in technical terms.
• Strong analytical, documentation, and project management skills, with the ability to manage multiple initiatives and deadlines.
• Clear written and verbal communication skills, with experience working with external auditors and senior stakeholders.

Responsibilities

• Design and maintain IT infrastructure controls, including environment segregation, access pathways, configuration baselines, and logging and monitoring aligned with SOX and regulatory requirements.
• Partner with Platform, Infrastructure, and Security teams to align system architecture and operational processes with control objectives and audit evidence expectations.
• Assess new systems, tools, and services, including cloud platforms, data stores, and security tooling, to identify control gaps and define remediation actions.
• Lead IT SOX readiness and integration efforts for new acquisitions.
• Perform IT SOX assessments ahead of product launches and system upgrades or migrations to ensure timely compliance.
• Lead IT change management and production access governance, including approvals, testing, deployments, rollback procedures, emergency changes, and least-privilege access controls across production environments.
• Map end-to-end data flows supporting financial and regulatory reporting, identifying key interfaces, transformations, and control points to ensure completeness and accuracy.
• Partner with Data Engineering and Finance teams to design and implement controls over data reconciliation, monitoring, and retention across reporting pipelines.
• Execute and oversee testing of IT general controls and application controls, evaluate deficiencies, identify root causes, and coordinate remediation with engineering and operations teams.
• Prepare and maintain control documentation, process narratives, flowcharts, and audit evidence to support internal and external audits.
• Serve as a subject matter expert in IT controls during audits and translate regulatory requirements into clear technical implementation guidance for engineering teams.
• Identify opportunities to automate control execution and evidence collection and contribute to standardizing control frameworks, tooling, and documentation across the organization.

Benefits

• Performance-driven compensation, bonus programs, equity ownership, and 401(k) matching.
• 100% paid health insurance for employees and 90% coverage for dependents.
• Access for eligible US employees to invest in a private employee fund that provides exposure to Robinhood Ventures funds.
• Access to AI tools and continuous AI skill-building.
• A flexible lifestyle spending account for wellness, learning, and more.
• Employer-paid life and disability insurance.
• Fertility benefits and mental health benefits.
• Company holidays, paid time off, sick time, parental leave, and more.
• Catered meals, events, and comfortable workspaces.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed