Compliance Senior Specialist

Robinhood
Chicago, Denver, New York
Workplace: OnsiteFull timeUSD 89,000 - 135,000 annuallyFunction: Legal, Risk & ComplianceExperience: 5-10 yearsSkills: ["Communication","Organizational skills","Critical thinking","Problem-solving","Attention to detail"]

Create and champion compliance for a new Robinhood Asset Management investment advisory business activity during pre-launch and development. Serve as a primary point of contact across teams to identify and solve issues, research regulatory questions, and support successful launch. Develop supervisory policies and procedures, conduct testing/surveillance/audits, assess risk, resolve complaints and client inquiries, and build workflows for books-and-records, information barriers, and conflicts of interest.

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Robinhood
Robinhood
1 month ago

Compliance Senior Specialist

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Last checked: 1 hour agoStatus: Live

Job Summary

Create and champion compliance for a new Robinhood Asset Management investment advisory business activity during pre-launch and development. Serve as a primary point of contact across teams to identify and solve issues, research regulatory questions, and support successful launch. Develop supervisory policies and procedures, conduct testing/surveillance/audits, assess risk, resolve complaints and client inquiries, and build workflows for books-and-records, information barriers, and conflicts of interest.
Location: Chicago, Denver, New York
Workplace: Onsite
Employment Type: Full time
Job Function: Legal, Risk & Compliance
Seniority: Mid level

Key Responsibilities

  • •Develop, administer, and operationalize the regulatory framework for a new business activity, including supervisory and operational policies and procedures.
  • •Serve as a primary resource to operations, customer service, and business teams across Robinhood’s affiliated companies.
  • •Conduct testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls.
  • •Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries.
  • •Identify compliance vulnerabilities and risks, propose solutions, and build workflows covering books-and-records testing, information barriers, and conflicts of interest.

Pay and Benefits

Salary: USD 89,000 - 135,000 annually
Equity and Bonus:Equity
Perks:Health Insurance401kParental LeavePaid LeaveSick Time

Key Requirements

  • •5-10 years compliance experience with an investment adviser.
  • •Deep understanding of SEC Investment Advisers ’40 Act and FINRA regulations.
  • •Strong written, verbal, and presentation skills to communicate clearly with coworkers, leadership, committees, and regulators.
  • •Exceptional organizational skills with ability to think critically, solve problems, and implement process improvements.
  • •Attention to detail and ability to proactively identify issues and take steps to resolve them.
Experience:5-10 years
Skills:CommunicationOrganizational skillsCritical thinkingProblem-solvingAttention to detail
Languages:English

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