Brokerage Communications Specialist

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 Middle Office Operations team is committed to providing a superior customer journey while mitigating institutional risk and facilitating the execution of innovative brokerage services. We provide essential support for our various trading platforms by managing central middle-office operations, ensuring transaction accuracy, and overseeing vital risk-related functions. As a Middle Office Operations Margin Specialist, you’ll be responsible for account level risk management and operations. You’ll perform essential daily duties to keep our margin business running smoothly, including analyzing and resolving various types of margin calls, communicating with customers via phone or email to resolve escalated issues, reviewing risk-based alerts, testing the functionality of our margin product, and reviewing our outbound communications and educational materials. Additionally, you’ll be expected to help scale our processes, tools, documentation, and workflows, and be a key member in helping us grow our team. Along with the broader Middle Office Operations team, you’ll work cross-functionally with our clearing, product, compliance, international, and engineering t

About Energy CX: Energy CX is redefining the energy brokerage industry as the fastest-growing player in the US. By bringing cutting-edge technology, advanced analytics, and innovative solutions, we are disrupting a space that has operated in the dark for too long. Why Energy CX? Recession proof industry Uncapped commission with competitive salary Entrepreneurial and ambitious culture with a great team oriented environment Fastest growing energy broker in the country One of the fastest growing companies in Chicago Recognized by Fortune and Great Places to work US Named on Inc 5000’s list of America’s fastest growing companies Compensation Year 1 Expected Earnings →$125,000 - $180,000 Title: Manager, Supplier Relations About this Job Energy CX is hiring a Manager of Supplier Relations to build its supplier relationship function from the ground up. Today, the company is leaving value on the table with suppliers, data isn't being captured, reconciliation has gaps, and relationships lack the structure needed to strengthen over time. This person will fix that: building trust and reinforcing strong, ongoing relationships with suppliers while designing the workflows and systems behind them, taking supplier processes from manual and ad hoc to automated and scalable, and representing the company as a credible, data-driven partner in the room. Objectives of this Role Own and develop the relationship between Energy CX's and our supplier partners Design and implement how Energy CX operationally works with suppliers Support negotiations around commission structures and incentive programs Monitor and flag opportunities to improve ECX's standing with key suppliers Surface intelligence about what suppliers are learning and prioritizing, and represent Energy CX proactively to suppliers Daily and Monthly Responsibilities Manage daily supplier communications and ensure timely resolution of all inquiries and issues Reconcile commission discrepancies against

Department: Compliance Reports To: Chief Compliance Officer for tastyfx/tastytrade futures Location: Chicago, IL (In-office 3 days/week) Licensure: Series 3 and Series 34 strongly preferred Salary : $100,000-$140,000 As a Compliance Officer, you will support the firm’s compliance program, ensuring adherence to CFTC Regulations, NFA rules, and internal policies governing retail forex operations. The role is critical to maintaining the firm’s regulatory standing and reports directly to the Chief Compliance Officer. tastyfx is a retail brokerage that provides professional-grade, world-class technology to retail traders at industry-leading prices. We focus on giving customer access to global currencies via the spot forex market. Built from the ground up by a team with decades of experience in the financial industry, we’re a modern brokerage for the current financial climate. What You’ll Do: Monitor and ensure ongoing compliance with CFTC Regulations and NFA Compliance Rules. Provide advice and guidance to the business partners on existing products and services as well as new products. Maintain firm registration; track AP licensing requirements. Assist the CCO with responding to NFA and CFTC inquiries, audits and examinations; coordinate documentation requests. Review marketing materials and customer communications for compliance with NFA Marketing Compliance Rules. Deliver training on compliance requirements, including emerging regulations, internal protocols, and best practices. Supervise customer due diligence processes to ensure adherence to AML and KYC requirements, optimizing the customer experience while managing the firm's customer risk. Monitor suspicious activity and prepare SAR filings as needed in coordination with the AML Officer/CCO. Monitor customer complaint handling. Who You Are: Bachelors degree in Finance, Business, Law, or related field 5+ years of compliance experience in the retail forex, futures, or broader derivatives/securities

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. The Brokerage Risk Governance and Oversight team's mission is to administer and implement Robinhood's brokerage risk management program, overseeing, facilitating, and coordinating risk management activities across our broker dealers, Robinhood Financial, LLC and Robinhood Securities, LLC. As Director of Brokerage Risk, you will partner closely with brokerage leadership and cross-functional risk teams to refine risk management capabilities, lead the team's Data Analytics and Solutions function to surface actionable risk insights across the enterprise, and play an influential role in proposing and implementing strategic risk initiatives. This role is based in our Chicago, IL office with in-person attendance expected 5 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 Lead and drive consensus with senior management and cross-functional risk partners to design and implement best-in-class risk management practices, balancing rigorous risk mitigation with operational efficiency Own and evolve the Risk Management Program documentation, establishing clear standards and frameworks that create demonstrable value across the broker dealer enterprise Oversee risk assessment activities including RCSAs, new product reviews, and emerging risk identification, ensuring rigor, consistency, and regulatory alignment Direct the aggregation and presentation of risk committee materials and executive management reporting, translating complex risk

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 Customer Care, Government Products team supports industry-changing products in collaboration with the U.S. Government, expanding financial access for millions of Americans. This role leads end-to-end Customer Care workstream management for Trump Accounts, developed and managed on behalf of the U.S. Department of the Treasury in partnership with BNY. The Program Manager is the single point of accountability for keeping the program's contact center obligations — to BNY, the U.S. Treasury, and Robinhood's own Legal, Compliance, Operations, Finance, Security, and Engineering teams — running on schedule and in good standing. This role is based in our Denver, CO, Westlake, TX, or Chicago, IL 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 Lead end-to-end Contact Center program management for complex, cross-functional initiatives — scope, milestones, success metrics, governance structures from kickoff thr

Company: tastytrade Role: Software Engineer (Ruby) Location: Chicago, IL — Hybrid Salary: $130,000-$150,000 As a Software Engineer you will be part of a team that builds out the technology powering our retail brokerage business and supporting our other business initiatives. We care about the speed and stability of our back-end systems as much as we care about the customer-facing applications we build. Our architecture is distributed and consistently evolving as our business grows and we face different technical challenges, but always with a focus on practicality and performance. You'll help by modifying existing systems, taking ownership of current systems as well as green field projects, and troubleshooting issues as they arise. Our engineers work with a plethora of tools including Java, Javascript, and Ruby. You'll work primarily in Ruby but will have opportunities to expand your skill set into areas where your interests and our technology intersect. Ruby doesn't have to be your primary language today. If you're strong in another object-oriented language — Java, for example — and you're genuinely keen to make Ruby your day-to-day, we'd like to hear from you. Our technical interview is conducted in Ruby wherever possible, so you'd need to be comfortable enough to code in it by the time we meet. What You'll Do Work in multiple languages across different parts of the tastytrade stack and/or front-end trading client applications. Design, build and maintain services in a distributed architecture, thinking about failure modes, latency and data consistency as you go. Provide guidance and leadership to more junior members of the team when questions arise about language or implementation specifics, and contribute in a meaningful way to our peer review process. Translate requirements and technical direction into production-quality code with lightweight guidance from a senior engin