← All roles

Compliance Operations Specialist

Robinhood· Investment Strategy
Apply on company site
Hybrid (Chicago, IL; New York, NY; Denver, CO; Lake Mary, FL)Posted 4w ago

About the role

Role focused on operational and regulatory support for RAM’s investment advisory activities, including fiduciary duties, procedures, surveillance, and regulatory compliance for new advisory services and pre-launch activities.

Responsibilities

  • Operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
  • Be a primary resource for customer service and business teams, and across Robinhood’s affiliated companies
  • 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 to resolve issues, and provide guidance for future avoidance of similar issues
  • Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.
  • Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.
  • Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.
  • Work as a team, supporting compliance needs across RAM when needed.

Qualifications

  • 4-6 years of operational or compliance experience with an investment adviser
  • Understanding of SEC Investment Advisers Act of 1940 and FINRA regulations
  • Demonstrated written, verbal, and presentation skills to communicate ideas clearly
  • Exceptional organizational skills with ability to think critically, solve problems, and implement process improvements
  • Self-starter who pays close attention to details
  • Awareness to spot and identify issues and proactively take steps to resolve
  • Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment

Skills

Required:Operational and regulatory experience with an investment adviserUnderstanding of SEC Advisers Act and FINRA regulationsCommunication and presentation skillsProblem solving and process improvement

Benefits

  • Challenging, high-impact work to grow your career
  • Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
  • 100% paid health insurance for employees with 90% coverage for dependents
  • Access to the Robinhood Employee Fund for investing in Robinhood Ventures funds
  • Access to AI tools and ongoing AI skill-building
  • Lifestyle wallet for wellness and learning
  • Employer-paid life & disability insurance, fertility benefits, and mental health benefits
  • Paid time off including holidays, PTO, sick time, parental leave
  • Exceptional office experience with catered meals, events, and comfortable workspaces
Last updated Sep 30, 2026. Interested? Apply on the company site.

About Robinhood

24/5 Commission-Free Stock Trading & Investing

Trade stocks on Robinhood with commission-free investing & advanced trading tools. Access fractional shares, real-time market data, and more. Terms and fees may apply.

Stock TradingInvestingCryptoOptionsFuturesRetirement
Company profileWebsite

More open roles at Robinhood