Support the design, operation, and ongoing testing of the RHD compliance program under the Commodity Exchange Act, CFTC regulations, and NFA rules

Draft, update, and maintain Written Supervisory Procedures (WSPs), policies, and internal controls as products, rules, and business processes change

Advise Product, Engineering, Operations, and Legal on the regulatory requirements for new and existing futures, options on futures, and event contract offerings, including customer-facing flows and disclosures

Review and approve marketing, social media, and other communications for compliance with NFA and CFTC standards, working through our Red Oak review workflow

Complete regulatory and exchange responses, including timely, accurate responses to NFA, CFTC, exchange, and clearing firm examinations, inquiries, and document requests, and track remediation of any findings through to closure

Handle the registration process for Associated Persons (APs), including Series 3 testing and registration and the filing of NFA Forms 8-R (registration) and 8-T (termination) in NFA's Online Registration System, and keep AP registration records current

Respond to 4g requests

Support regulatory filings and recurring obligations, including the NFA annual self-examination and required notices and reports

Support the firm's risk management program requirements under CFTC Regulation 1.11, and contribute to compliance monitoring, testing, and reporting to senior management

Review and escalate trade surveillance and monitoring alerts, working with Risk, Trading, and Operations to investigate and document outcomes

Own the customer complaint adjudication process for the futures business, from intake and investigation through resolution, documentation, and trend reporting

Support KYC and customer onboarding processes as they relate to the futures business

Futures Compliance Senior Specialist

Responsibilities

Benefits

Company

Robinhood

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