Mitch Deane
Regulatory Attorney @ Robinhood
- Role
- Assistant General Counsel, Regulatory at Robinhood
- Location
- Washington, WA, US
- LinkedIn followers
- 500 followers
About Mitch Deane
Regulatory attorney with 20+ years of experience across the financial services industry. Expert in providing regulatory guidance (FINRA, SEC, federal, state), building frameworks, and navigating complex product launches by balancing foundational compliance with a flexible approach to today’s evolving regulatory landscape.
Experience
Assistant General Counsel, Regulatory
Jun 2025 — Present · DC, US
Counsels product and engineering teams on generative AI (Cortex, Legend) and Family Finance initiatives, creating compliant regulatory frameworks and driving successful product launches.• Advises on complex securities offering, distribution, and underwriting rules, including the proprietary IPO Access program and the management and distribution of Closed-End Funds (CEFs).• Serves as a subject matter expert for Regulation Best Interest (Reg BI), Form CRS, brokerage account maintenance, and other nuanced federal and state rules, interpreting and implementing requirements firm-wide.
Education
Wake Forest University
BA, Sociology
1996 — 2000
University of Richmond School of Law
JD, Law
2000 — 2003
Skills
- Registered Investment Adviser Formation
- Investment Advisory
- Mutual Funds
- Appeals
- Asset Management
- Investment Advisers Act
- Investments
- Due Diligence
- Finance
- Insurance
- Securities Regulation
- Securities
- Estate Planning
- Internal Audit
- Finra
- Securities Litigation
- Regulatory Compliance
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