Strategic Compliance Operations for Investment Advisory

Robinhood

Denver (CO)

On-site

USD 82,000 - 97,000

Full time

8 days ago

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Benefits offered by this job

Health insurance

Equity ownership

401(k) matching

Job summary

Robinhood is seeking a Compliance Operations Specialist to support the advisory business across RAM. You will coordinate with teams to implement procedures, manage regulatory requirements, and help ensure a customer-friendly, compliant set of services.

This role emphasizes fiduciary duties, documentation, and surveillance tooling, at a fast-paced, collaborative scale. You will interact with multiple Robinhood teams and depend on strong problem solving and communication skills to drive successful

Qualifications

4-6 years of operational or compliance experience in the investment adviser space.
Solid understanding of SEC 40 Act and FINRA regulations.
Strong written, verbal, and presentation skills for clear communication to colleagues and leadership.
Excellent organizational skills with critical thinking, problem solving, and process improvements.
Self-starter with careful attention to details and proactive issue resolution.
Able to thrive in an entrepreneurial environment while guiding projects to completion.

Responsibilities

Operationalize the regulatory framework for a new advisory activity, including developing supervisory policies.
Serve as a primary resource for customer service and business teams across Robinhood affiliates.
Validate that supervision and controls are in place and procedures are accurate.
Research and respond to complaints and client inquiries.
Identify risks, propose solutions, and guide future avoidance of issues.