Interview Studio

Requirements found

Compliance (must) Marketing Social Media Onboarding Training Recruiting

What this posting asks for

Level: Senior — The title says "Senior".

Main responsibilities

• Support the design, operation, and ongoing testing of the RHD compliance program under the Commodity Exchange Act, CFTC regulations, and NFA rules
• Review and approve marketing, social media, and other communications for compliance with NFA and CFTC standards, working through our Red Oak review workflow
• Handle the registration process for Associated Persons (APs), including Series 3 testing and registration and the filing of NFA Forms 8-R (registration) and …
• 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…
• 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
• Track CFTC, NFA, and exchange rule changes and industry developments, and translate them into clear, practical guidance for the business

Competencies an interviewer will look for

• Technical skill Core
  In the posting: “We partner with Legal, Risk, Operations, Product, and Engineering to launch new derivatives products the right way, with clear regulations helping us build, …” · “Advise Product, Engineering, Operations, and Legal on the regulatory requirements for new and existing futures, options on futures, and event contract offeri…” · “Ability to read complex rules, form a clear view, and give practical, well-documented guidance to product, engineering, and business partners who move fast”
  Show it by: Names the tools, languages or systems used and how; Explains a technical choice and its trade-off.
• Communication Core
  In the posting: “Review and approve marketing, social media, and other communications for compliance with NFA and CFTC standards, working through our Red Oak review workflow” · “Own the customer complaint adjudication process for the futures business, from intake and investigation through resolution, documentation, and trend reporting” · “Working knowledge of the Commodity Exchange Act, CFTC regulations, and NFA rules, including supervision requirements (such as NFA Compliance Rule 2-9) and co…”
  Show it by: Adapts the message to the listener; Gives an example of explaining something clearly in writing or speech.
• Leadership and mentoring Core
  In the posting: “You will help run and strengthen the day-to-day compliance program for our futures business, from policies and supervision to product reviews, marketing appr…” · “Draft, update, and maintain Written Supervisory Procedures (WSPs), policies, and internal controls as products, rules, and business processes change” · “Working knowledge of the Commodity Exchange Act, CFTC regulations, and NFA rules, including supervision requirements (such as NFA Compliance Rule 2-9) and co…”
  Show it by: Describes setting direction or a standard others followed; Names someone they coached and what changed for them.
• Customer focus Core
  In the posting: “Robinhood Derivatives, LLC (RHD) is Robinhood's CFTC-regulated futures commission merchant and NFA member, offering customers access to futures, options on f…” · “Advise Product, Engineering, Operations, and Legal on the regulatory requirements for new and existing futures, options on futures, and event contract offeri…” · “Own the customer complaint adjudication process for the futures business, from intake and investigation through resolution, documentation, and trend reporting”
  Show it by: Puts the customer's need in their own words; Shows a result for the customer, not only for the company.
• Data and analysis Core
  In the posting: “Support the firm's risk management program requirements under CFTC Regulation 1.11, and contribute to compliance monitoring, testing, and reporting to senior…” · “Own the customer complaint adjudication process for the futures business, from intake and investigation through resolution, documentation, and trend reporting” · “Contribute to the annual CCO report, Board reporting, and compliance training for RHD personnel”
  Show it by: Uses a number to describe the situation or the result; Explains what the data showed and what was done with it.
• Attention to detail and quality Core
  In the posting: “The RHD Compliance team is small, hands-on, and in build mode.” · “As the Futures Compliance Senior Specialist, you will directly report to the Chief Compliance Officer of RHD and be a core member of the team.” · “You will help run and strengthen the day-to-day compliance program for our futures business, from policies and supervision to product reviews, marketing appr…”
  Show it by: Gives an example of an error caught before it caused harm; Names the check or standard they used.
• Problem solving Core
  In the posting: “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”
  Show it by: Describes a real problem, the options considered and the one chosen; Shows how the cause was found, not just the fix.
• Ownership and accountability Core
  In the posting: “Own the customer complaint adjudication process for the futures business, from intake and investigation through resolution, documentation, and trend reporting” · “Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching”
  Show it by: Takes a task from start to finish without being chased; Owns a mistake and what was changed after it.
• Teamwork and collaboration Supporting
  In the posting: “We partner with Legal, Risk, Operations, Product, and Engineering to launch new derivatives products the right way, with clear regulations helping us build, …”
  Show it by: Says what they did inside a team, not only what 'we' did; Shows how a disagreement was handled.
• Adaptability and learning Supporting
  In the posting: “Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more”
  Show it by: Describes learning something new quickly and using it; Shows a change of plan and how they adjusted.
• Stakeholder management Supporting
  In the posting: “Ability to read complex rules, form a clear view, and give practical, well-documented guidance to product, engineering, and business partners who move fast”
  Show it by: Shows how they aligned people with different goals; Explains how they handled a 'no' from someone senior.

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