Regulatory Compliance Ops Architect

Robinhood Markets, Inc.; Bellevue, Northern (WA, KY); Hybrid; USD 94,000 - 110,000; Full time

Benefits offered by this job

Health insurance

Equity ownership

401(k) matching

Job summary

Robinhood Markets, Inc. is seeking a Compliance Operations Specialist to support the investment adviser business across RAM.

Based in Chicago, NY, Denver, or Lake Mary with in-person 3 days/week, you’ll coordinate with teams to implement supervisory policies, resolve issues, and maintain regulatory compliance for digital advisory services. You’ll bring 4–6 years of compliance experience, understanding of the Advisers Act and FINRA rules, and strong communication and problem-solving skills to

Qualifications

• 4-6 years of operational or compliance experience with an investment adviser.
• Understanding of SEC Investment Advisers Act and FINRA regs.
• Strong written, verbal, and presentation skills to communicate ideas clearly.

Responsibilities

• Operationalize the regulatory framework around a new business activity.
• Be a primary resource for customer service and business teams across Robinhood’s affiliates.
• 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, and provide guidance for future avoidance of similar issues.
• Build workflows for books and records, establish information barriers, and identify conflicts of interest.
• Foster professionalism, client advocacy, and regulatory guidance across teams in a fast-paced environment.
• Demonstrate subject matter expertise while enabling out-of-the-box thinking to enhance client experience.
• Work as a team, supporting RAM compliance needs.

Skills

Investment compliance

SEC rules

Communication

Organization

Attention to detail

Problem solving

Job description

Robinhood Markets, Inc. is seeking a Compliance Operations Specialist to support the investment adviser business across RAM.

Based in Chicago, NY, Denver, or Lake Mary with in-person 3 days/week, you’ll coordinate with teams to implement supervisory policies, resolve issues, and maintain regulatory compliance for digital advisory services. You’ll bring 4–6 years of compliance experience, understanding of the Advisers Act and FINRA rules, and strong communication and problem-solving skills to