Regulatory Compliance Operations Specialist

Robinhood; Chicago (IL); Hybrid; USD 82,000 - 97,000; Full time

Job summary

Robinhood is seeking a Compliance Operations Specialist to support regulatory activities across RAM, coordinating with multiple teams to ensure fiduciary duties, robust controls, and compliant digital advisory services. The role emphasizes problem solving, process improvement, and proactive issue resolution in a fast-paced environment.

You will collaborate with investor services and other Robinhood affiliates, helping launch compliant advisory services while maintaining high standards of client

Qualifications

• 4–6 years of operational or compliance experience with an investment adviser.
• Understanding of SEC Advisers Act and FINRA regulations.
• Strong written, verbal, and presentation communication skills.
• Excellent organizational skills and ability to improve processes.
• Self-starter with attention to detail and proactive issue resolution.
• Trustworthy, motivated, multi-tasking in an entrepreneurial environment.

Responsibilities

• Operationalize the regulatory framework for a new business activity.
• Serve as primary resource for customer service and business teams across Robinhood.
• Validate supervision and controls are in place and procedures are accurate.
• Research and respond to complaints and client inquiries.
• Identify risks and propose solutions to prevent issues.
• Build workflows for books and records, information barriers, and conflicts of interest.
• Foster professionalism, client advocacy, and regulatory guidance across teams.
• Provide subject matter expertise and support RAM needs across the organization.
• Collaborate to ensure regulatory compliance during the launch.

Skills

Regulatory knowledge

Communication skills

Analytical thinking

Attention to detail

Problem solving

Self-starter

Job description

Robinhood is seeking a Compliance Operations Specialist to support regulatory activities across RAM, coordinating with multiple teams to ensure fiduciary duties, robust controls, and compliant digital advisory services. The role emphasizes problem solving, process improvement, and proactive issue resolution in a fast-paced environment.

You will collaborate with investor services and other Robinhood affiliates, helping launch compliant advisory services while maintaining high standards of client