Senior Compliance and Risk Specialist

## What you’ll do day-to-day: Conduct onboarding due diligence reviews of prospective RIA firms and existing firms on an ongoing basis Principal Review (approve) communications with the public ("CwP") materials to ensure it meets regulatory and internal standardsReview flagged email communications Experience with RIA compliance procedures and documentation Assist with annual Written Supervisory Procedures (WSP) testing Support AML processes including Customer Identification Program (CIP), Know Your Customer (KYC), and money movement monitoring Perform additional duties as requested by the CCO Knowledge of FINRA, SEC, and AML regulationsPartner closely with various business units within TradePMR and Robinhood Review, analyze, and advise stakeholders on the adherence of compliance and internal guidelines Develop and implement process improvements to increase quality and scalability Establish program efficiencies and enhance processes within the team Build strong relationships and align compliance strategy among different stakeholders Guide internal customers on compliance for projects and deliverables ## About you: Bachelor’s Degree FINRA Series 7 and 24. 5+ years working in compliance or a relevant function Ability to effectively manage multiple priorities and adapt to a changing environment Good written and verbal communication, strategic, negotiation skills and strong attention to detail General financial services industry experience as a regulator or within compliance, audit, risk, marketing, or communication • *The crypto industry is evolving rapidly, offering new opportunities in blockchain, web3, and remote crypto roles — don’t miss your chance to be part of it.**