Compliance Operations Lead, Investment Advisory

Rainfall Ventures; Illinois; On-site; USD 82,000 - 97,000; Full time

Benefits offered by this job

Health insurance

Equity ownership

401(k) matching

AI tools access

Benefits wallet

Life insurance

Fertility benefits

Mental health benefits

Paid time off

Catered meals

Office events

Job summary

Robinhood Asset Management (RAM) is seeking a Compliance Operations Specialist to support regulatory and operational needs across the investment advisory business. You will coordinate with teams, document best practices, and help launch compliant advisory services while upholding fiduciary duties.

Based in Chicago, IL; New York, NY; Denver, CO; or Lake Mary, FL with in-person attendance at least 3 days a week, you’ll work to ensure customer-friendly, compliant outcomes in a fast-paced,

Qualifications

• 4-6 years of operational or compliance experience with an investment adviser.
• Understanding of SEC Investment Advisers Act and FINRA regulations.
• Demonstrated written, verbal, and presentation skills to communicate ideas clearly.
• Ability to think critically, solve problems, and improve processes.

Responsibilities

• Operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
• Be a primary resource for customer service and business teams, and across Robinhood’s affiliated companies
• Participate in validation that supervision and controls are in place, and procedures are accurate
• Research and respond to complaint resolution, and client inquiries
• Identify potential areas of risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
• Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.
• Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.
• Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.
• Work as a team, supporting compliance needs across RAM when needed.

Skills

Regulatory compliance

SEC Advisers Act

FINRA regulations

Communication skills

Organizational skills

Problem solving

Attention to detail

Entrepreneurial mindset

Job description

Robinhood Asset Management (RAM) is seeking a Compliance Operations Specialist to support regulatory and operational needs across the investment advisory business. You will coordinate with teams, document best practices, and help launch compliant advisory services while upholding fiduciary duties.

Based in Chicago, IL; New York, NY; Denver, CO; or Lake Mary, FL with in-person attendance at least 3 days a week, you’ll work to ensure customer-friendly, compliant outcomes in a fast-paced,