Senior Compliance Architect, Investment Advisory

Robinhood; Bellevue (WA); Hybrid; USD 115,000 - 135,000; Full time

Benefits offered by this job

Health insurance

Equity ownership

Bonus programs

401(k) matching

Paid time off

Catered meals

Job summary

Robinhood Asset Management (RAM) seeks a Compliance Specialist to build and govern a new advisory service, coordinating with teams across Robinhood to ensure regulatorily compliant operations. You will implement surveillance tools, respond to regulatory requests, and advance the compliance program as rules evolve.

You will apply fiduciary duties in practice, document best practices, and help deliver a customer-friendly, compliant advisory experience with rigorous controls and ongoing improvement.

Qualifications

• 5-10 years compliance experience with an investment adviser.
• Deep understanding of SEC Investment Advisers Act and FINRA regulations.
• Demonstrated written, verbal, and presentation skills to communicate clearly with colleagues, leadership, and regulators.
• Exceptional organizational skills with the ability to think critically and improve processes.
• Self-starter with attention to detail and proactive issue resolution.

Responsibilities

• Develop regulatory framework for a new advisory business activity, including policies and procedures.
• Serve as primary resource for operations and business teams across Robinhood.
• Conduct testing, audits, risk assessments, and annual reviews to validate supervision and controls.

Skills

Compliance experience

Investment Advisers Act

Regulatory reporting

Regulatory communications

Analytical thinking

Problem solving

Education

Bachelor's degree in finance

Job description

Robinhood Asset Management (RAM) seeks a Compliance Specialist to build and govern a new advisory service, coordinating with teams across Robinhood to ensure regulatorily compliant operations. You will implement surveillance tools, respond to regulatory requests, and advance the compliance program as rules evolve.

You will apply fiduciary duties in practice, document best practices, and help deliver a customer-friendly, compliant advisory experience with rigorous controls and ongoing improvement.