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Director, AI Compliance
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 Robinhood Markets (“RHM”) Compliance team is Robinhood’s parent company group. As the AI Compliance Lead within RHM Compliance, you’ll play a critical role in supporting Robinhood’s development and implementation of Artificial Intelligence.

Working with Legal, Engineering, Privacy, and Security and oversight groups across Robinhood, you’ll ensure that the development and use of AI technologies are transparent, ethical, and compliant with relevant regulations. You’ll do significant work on high-priority, cross-functional projects and lead the compliance efforts to further mature, scale, and operationalize the AI Compliance framework, while also supporting Legal and Compliance in adopting AI for their own work. Given the pace of AI adoption, we need someone who can move quickly, make sound decisions, and enable the business while managing risk!

This role is based in our Menlo Park, CA, Washington, DC and New York, NY 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.

What you’ll do

• Own and continue to build a cross-Robinhood AI compliance program by developing policies & procedures, oversight & testing, governance, and frameworks, including tools that operationalize AI governance

• Work with cross functional partners to maintain and enhance a formal risk assessment and mitigation program for AI use cases and capabilities, including generative AI and agentic AI

• Maintain an enterprise inventory of AI use cases, models, and third-party AI tools, with a risk-tiering and intake process that scales the level of review, testing and monitoring to risk

• Evaluate and categorize new AI tools and use cases (intended use, data and controls), and develop new models and templates that speed up onboarding and approval

• Partner with compliance business units (“BU”), enterprise risk management and BU risk to implement Model Validation for AI programs

• Work with Legal, Privacy, Risk, Engineering, Security and BU compliance to ensure processes are in place for AI regulatory compliance

• Monitor emerging global AI regulatory frameworks, laws, regulations, policies and trends

• Remain up-to-date on standards, technical approaches, and related issues by participating in workshops, reading professional publications, maintaining personal networks, and participating in professional organizations

• Provide regulatory and compliance advice on AI-related efforts, including supporting internal audits and regulatory exams and inquiries

• Act as the RHM enterprise compliance subject matter expert on AI, facilitating the integration of the AI compliance program and raising awareness around the importance and safe adoption of AI across RH

• Support Legal and Compliance teams in identifying, evaluating, and responsibly adopting AI for their own use cases (e.g., regulatory change management, monitoring and surveillance, policy and contract review, and compliance testing), including defining appropriate guardrails, testing and human review

• Participate in committee meetings and present to senior leadership and the boards of Robinhood entities on AI usage, risk analysis, and compliance efforts, and produce clear policies and reports that support a reasonable, well-documented approach to AI risk

• Develop and deliver practical, example driven training programs for employees on AI ethics, compliance, and responsible AI practices

What you bring

• Bachelor’s Degree, and equivalent experience, in a related field

• 7+ years of progressive professional experience in Compliance, Legal, Model Risk Management, or Regulatory Tech Advisory, with at least 3+ years directly within a regulated financial services institution, fintech, or broker-dealer environment.

• Demonstrated experience in AI compliance or AI governance, including assessing use cases, controls, and governance for new AI tools (fintech, technology, or other organizations with AI ethics or compliance functions)

• Working knowledge of how financial services regulation (e.g., broker-dealer, banking, consumer protection) applies to technology and data-driven products

• Excellent analytical skills and highly organized, resourceful and committed with experience driving focus, clarity and prioritization in a fast-paced environment, with sound judgment and the ability to make timely, risk-based decisions

• Pragmatic, solutions-oriented approach to compliance: a track record of enabling the business to move quickly while managing risk, and of knowing when to escalate

• Strong interpersonal skills and composure in high-profile settings, with the ability to influence cross-functionally and communicate clearly with non-technical stakeholders and senior leaders

• Experience drafting and implementing policies, procedures, standards and guidelines

• Strong technical understanding and deep interest in AI capabilities: the technologies (e.g. machine learning, deep learning, neural networks, large language models, and agentic systems) and the emerging field (e.g. GenAI, AI Governance, Explainable AI (XAI))

• Understanding of concepts of equity and fairness, ethics, transparency, interpretability, safety in the context of AI/ML

• Familiarity with Model Validation concepts (model mechanics, standards, testing and evaluation, data integrity and continuous monitoring) as it relates to AI

• Working knowledge of Responsible AI policy, governance, trends, frameworks, evaluation techniques for machine learning models, and best practices

• Experience advising or partnering with Legal and Compliance Teams on technology and AI tools used in their workflows is a plus

What we offer

• Challenging, high-impact work to grow your career.

• Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.

• Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.

• Access to the Robinhood Employee Fund that gives eligible US employees the opportunity to invest in a private employee fund that provides exposure to Robinhood Ventures funds.

• Access to the best AI tools on the market and continuous AI skill-building for every employee, technical or not.

• 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.

In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Base Pay Range:

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)
$208,000 — $245,000 USD

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)
$184,000 — $216,000 USD

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)
$162,000 — $191,000 USD

Click here to learn more about our Total Rewards, which vary by region and entity.

If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.

AI Usage Disclosure: Robinhood uses artificial intelligence (AI) tools to support parts of our recruiting process. These tools enhance the efficiency and consistency of our hiring process; however, all hiring decisions are made by our hiring teams.

Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.

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Requirements found

Compliance (nice) Marketing Inventory Onboarding Training Recruiting

What this posting asks for

Level: Manager — The title says "Director".

Main responsibilities

Own and continue to build a cross-Robinhood AI compliance program by developing policies & procedures, oversight & testing, governance, and frameworks, inclu…
Work with cross functional partners to maintain and enhance a formal risk assessment and mitigation program for AI use cases and capabilities, including gene…
Maintain an enterprise inventory of AI use cases, models, and third-party AI tools, with a risk-tiering and intake process that scales the level of review, t…
Partner with compliance business units (“BU”), enterprise risk management and BU risk to implement Model Validation for AI programs
Work with Legal, Privacy, Risk, Engineering, Security and BU compliance to ensure processes are in place for AI regulatory compliance
Monitor emerging global AI regulatory frameworks, laws, regulations, policies and trends
Support Legal and Compliance teams in identifying, evaluating, and responsibly adopting AI for their own use cases (e.g., regulatory change management, monit…
Participate in committee meetings and present to senior leadership and the boards of Robinhood entities on AI usage, risk analysis, and compliance efforts, a…
Develop and deliver practical, example driven training programs for employees on AI ethics, compliance, and responsible AI practices

Competencies an interviewer will look for

Teamwork and collaboration Core
In the posting: “You’ll do significant work on high-priority, cross-functional projects and lead the compliance efforts to further mature, scale, and operationalize the AI Co…” · “Work with cross functional partners to maintain and enhance a formal risk assessment and mitigation program for AI use cases and capabilities, including gene…” · “Partner with compliance business units (“BU”), enterprise risk management and BU risk to implement Model Validation for AI programs”
Show it by: Says what they did inside a team, not only what 'we' did; Shows how a disagreement was handled.
Planning and organisation Core
In the posting: “Remain up-to-date on standards, technical approaches, and related issues by participating in workshops, reading professional publications, maintaining person…” · “Demonstrated experience in AI compliance or AI governance, including assessing use cases, controls, and governance for new AI tools (fintech, technology, or …” · “Excellent analytical skills and highly organized, resourceful and committed with experience driving focus, clarity and prioritization in a fast-paced environ…”
Show it by: Shows how priorities were set when everything was urgent; Mentions deadlines met and how.
Data and analysis Core
In the posting: “Evaluate and categorize new AI tools and use cases (intended use, data and controls), and develop new models and templates that speed up onboarding and approval” · “Participate in committee meetings and present to senior leadership and the boards of Robinhood entities on AI usage, risk analysis, and compliance efforts, a…” · “Working knowledge of how financial services regulation (e.g., broker-dealer, banking, consumer protection) applies to technology and data-driven products”
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 Robinhood Markets (“RHM”) Compliance team is Robinhood’s parent company group.” · “As the AI Compliance Lead within RHM Compliance, you’ll play a critical role in supporting Robinhood’s development and implementation of Artificial Intellige…” · “You’ll do significant work on high-priority, cross-functional projects and lead the compliance efforts to further mature, scale, and operationalize the AI Co…”
Show it by: Gives an example of an error caught before it caused harm; Names the check or standard they used.
Technical skill Core
In the posting: “Working with Legal, Engineering, Privacy, and Security and oversight groups across Robinhood, you’ll ensure that the development and use of AI technologies a…” · “Work with Legal, Privacy, Risk, Engineering, Security and BU compliance to ensure processes are in place for AI regulatory compliance”
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: “Participate in committee meetings and present to senior leadership and the boards of Robinhood entities on AI usage, risk analysis, and compliance efforts, a…” · “Strong interpersonal skills and composure in high-profile settings, with the ability to influence cross-functionally and communicate clearly with non-technic…”
Show it by: Adapts the message to the listener; Gives an example of explaining something clearly in writing or speech.
Stakeholder management Core
In the posting: “Work with cross functional partners to maintain and enhance a formal risk assessment and mitigation program for AI use cases and capabilities, including gene…” · “Strong interpersonal skills and composure in high-profile settings, with the ability to influence cross-functionally and communicate clearly with non-technic…”
Show it by: Shows how they aligned people with different goals; Explains how they handled a 'no' from someone senior.
Ownership and accountability Supporting
In the posting: “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.
Leadership and mentoring Supporting
In the posting: “Participate in committee meetings and present to senior leadership and the boards of Robinhood entities on AI usage, risk analysis, and compliance efforts, a…”
Show it by: Describes setting direction or a standard others followed; Names someone they coached and what changed for them.
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.

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Practice questions

Tell me about yourself. Dedicated step-by-step practice.
If an interviewer asks something improper How to respond to questions about age, family, origin or health.
Built from this posting (8):
Describe a time you worked with another team to deliver something. What was your part? From this posting
You have three urgent tasks due today and time to finish only two. How do you decide? From this posting
Tell me about a time you used data or numbers to make a decision. From this posting
Tell me about a time you caught an error before it reached a customer or a report. From this posting
How have you used compliance in your work? Walk me through one real example. From this posting
Tell me about a problem you solved using marketing. From this posting
Tell me about a time you helped someone on your team get better at their work. From this posting
Tell me about a task you took from start to finish without anyone asking you to. From this posting
This posting reads as Finance & accounting: its questions come first.
How do you make sure your work holds up in an audit? Finance & accounting
Tell me about a time you found an error in a financial report or reconciliation. Finance & accounting
Walk me through how you build a budget or forecast. Finance & accounting
It is the last day of month-end close and a balance will not tie out. What do you do? Finance & accounting
Describe a time you explained a financial result to a manager outside finance. Finance & accounting
Tell me about an analysis that saved money or found revenue. Finance & accounting
Three urgent requests arrive during close. How do you decide the order? Finance & accounting
Describe a finance process you made faster or more reliable. Finance & accounting
You find that the inventory count does not match the system. What do you do?
Describe a time you handled an upset customer or colleague.
Tell me about a time you had several deadlines at once. How did you decide what to do first?
Give an example of a mistake you caught before it caused a problem.
Tell me about a time you taught someone how to do something.
Describe a time you took the lead without being asked.
Tell me about a time you had to explain something complicated in simple terms.
Describe a process you improved.
Do you have any questions for us?
Why do you want to work here?
Why is there a gap in your employment? Difficult question
Why did you leave your last job? Difficult question
Why are you changing careers? Difficult question
What is your greatest weakness? Difficult question
What are your salary expectations? Difficult question
You seem overqualified for this role. Why do you want it? Difficult question
Improper-question practice: How old are you? / Do you have children? / Where are you from originally?
A customer is angry about a delay you did not cause. What do you do?
How do you keep track of many open customer requests?
Tell me about a time you could not give a customer what they wanted.
Tell me about a time a shipment or delivery went wrong.
How do you make sure safety rules are followed on a busy shift?
Two managers ask you to book the same room at the same time. What do you do?
How have you used spreadsheets in your work?
Tell me about a time you had to enter or check a lot of data accurately.
Tell me about a sale or agreement you are proud of.
A prospect says your price is too high. How do you respond?
How do you keep your pipeline organised?
Tell me about a technical problem you solved on your own.
You find a bug right before a release. What do you do?
Walk me through how you would check whether a report's numbers are right.