Compliance Operations Specialist

Robinhood
Chicago, Denver, New York
Workplace: HybridFull timeUSD 73,000 - 110,000 annuallyFunction: Legal, Risk & ComplianceExperience: 4-6 yearsSkills: ["Customer advocacy","Regulatory guidance","Problem-solving","Organizational skills","Process improvement","Communication","Risk identification","Detail-oriented","Self-starter","Conflict resolution"]

Support operational aspects of the investment advisory business, coordinating across teams to identify and solve issues and help launch regulatorily compliant digital advice services. Operationalize the regulatory framework for new business activities, validate supervision and controls, research complaint resolutions and client inquiries, and build workflows for books-and-records testing, information barriers, and conflict-of-interest identification. Serve as a primary point of contact across Robinhood’s affiliated companies.

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FursaFursa
Robinhood
Robinhood
17 hours ago

Compliance Operations Specialist

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Last checked: 15 hours agoStatus: Live

Job Summary

Support operational aspects of the investment advisory business, coordinating across teams to identify and solve issues and help launch regulatorily compliant digital advice services. Operationalize the regulatory framework for new business activities, validate supervision and controls, research complaint resolutions and client inquiries, and build workflows for books-and-records testing, information barriers, and conflict-of-interest identification. Serve as a primary point of contact across Robinhood’s affiliated companies.
Location: Chicago, Denver, New York
Workplace: Hybrid
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Operationalize the regulatory framework for a new business activity, including implementation of supervisory and operational policies and procedures.
  • •Serve as a primary resource for customer service and business teams across Robinhood’s affiliated companies.
  • •Participate in validation that supervision and controls are in place and that procedures are accurate.
  • •Research and respond to complaint resolution and client inquiries.
  • •Identify potential areas of risk, propose solutions, and build workflows for books-and-records testing, information barriers, and conflict-of-interest identification.

Pay and Benefits

Salary: USD 73,000 - 110,000 annually
Equity and Bonus:Equity
Perks:Health Insurance401kPaid LeaveLife InsuranceDisability InsuranceParental LeaveLearning BudgetRemote Work

Key Requirements

  • •4-6 years of operational or compliance experience with an investment adviser.
  • •Understanding of SEC Investment Advisers '40 Act and FINRA regulations.
  • •Demonstrated written, verbal, and presentation skills to communicate clearly to co-workers and leadership.
  • •Exceptional organizational skills with the ability to think critically, solve problems, and implement process improvements.
  • •Self-starter with strong attention to detail and awareness to proactively identify and resolve issues.
Experience:4-6 yearsInvestment adviserComplianceFinancial services
Skills:Customer advocacyRegulatory guidanceProblem-solvingOrganizational skillsProcess improvementCommunicationRisk identificationDetail-orientedSelf-starterConflict resolution

Company Brief

Robinhood
Commission-free trading platform offering stocks, ETFs, options, and cryptocurrencies, plus cash management and retirement products. Aims to democratize finance through easy-to-use mobile and web apps for retail investors.
Industry: Trading Platforms
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Menlo Park, United States
Founded: 2013
WebsiteLinkedIn