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Salary: USD 73,000 - 110,000 / annual
Robinhood Asset Management (RAM) is seeking a Compliance Operations Specialist to support the operational and compliance aspects of its expanding investment advisory business, including digital advice services and a dedicated team of relationship managers at the pre-launch stage.
You will serve as a primary point of contact coordinating across Robinhood teams to identify and solve compliance problems, research unique issues, and collaborate to ensure a successful launch of advisory services. Your focus will be on maintaining a customer-friendly, compelling, and regulatorily compliant set of advisory services while upholding fiduciary duties to clients.
Key responsibilities include:
- Operationalize the regulatory framework around new business activities, implementing supervisory and operational policies and procedures
- Serve as a primary resource for customer service and business teams 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, and provide guidance for future issue avoidance
- Build essential workflows for books and records testing, information barriers, and conflict-of-interest identification
- Foster a culture of professionalism, client advocacy, and regulatory guidance in a fast-paced, collaborative environment
- Demonstrate subject matter expertise while encouraging innovative thinking to provide superior client experience
- Support compliance needs across RAM as needed
The role is based in Chicago, IL; New York, NY; Denver, CO; or Lake Mary, FL, with in-person attendance expected at least 3 days per week.
Requirements:
- 4–6 years of operational or compliance experience with an investment adviser
- Understanding of SEC Investment Advisers Act of 1940, FINRA, and related regulations
- Demonstrated written, verbal, and presentation skills to communicate clearly with coworkers and leadership
- Exceptional organizational skills with ability to think critically, solve problems, and implement process improvements
- Self-starter who pays close attention to detail
- Ability to spot and identify issues and proactively resolve them
- Trustworthy, highly motivated, multi-task oriented, and able to thrive in an entrepreneurial environment
