Regulatory Operations Architect

Robinhood; New York (NY); On-site; USD 73,000 - 110,000; Full time

Benefits offered by this job

Top-tier benefits

Equity & 401(k) matching

Health insurance

AI tools access

Lifestyle wallet

Catered meals & events

Job summary

Robinhood is building a regulated, compliant operations function within RAM to support digital advisory services. The Compliance Operations Specialist will coordinate across teams, implement supervisory policies, and ensure fiduciary duties and regulatory requirements are met.

Based in our Chicago, NY, Denver, or Lake Mary offices, the role emphasizes in-person collaboration at least 3 days per week to drive professional client outcomes and robust controls in a fast-paced, innovation-driven

Qualifications

• 4-6 years of operational or compliance experience with an investment adviser.
• Understanding of SEC Investment Advisers Act and FINRA regulations.
• Strong written, verbal, and presentation skills to communicate clearly.
• Excellent organizational skills and problem-solving abilities.
• Detail-oriented self-starter in a fast-paced, entrepreneurial environment.
• Ability to identify issues and propose solutions with minimal supervision.

Responsibilities

• Operationalize regulatory framework for new business activity.
• Serve as a primary resource for customer service and business teams.
• Validate supervision and controls are in place and procedures are accurate.
• Research and respond to complaints and client inquiries.
• Identify risk areas and propose solutions for future avoidance.
• Build workflows including testing for books/records and information barriers.
• Foster professionalism, client advocacy, and regulatory guidance.
• Provide subject matter expertise while enabling out-of-the-box thinking.
• Collaborate across RAM to support compliance needs.

Skills

Operational/compliance experience

SEC Act & FINRA knowledge

Communication skills

Organizational skills

Attention to detail

Proactive problem-solving

Entrepreneurial mindset

Job description

Robinhood is building a regulated, compliant operations function within RAM to support digital advisory services. The Compliance Operations Specialist will coordinate across teams, implement supervisory policies, and ensure fiduciary duties and regulatory requirements are met.

Based in our Chicago, NY, Denver, or Lake Mary offices, the role emphasizes in-person collaboration at least 3 days per week to drive professional client outcomes and robust controls in a fast-paced, innovation-driven