Compliance Operations Specialist

As a Compliance Operations Specialist at Robinhood Asset Management, you support the operational aspects of the investment advisory business during its launch phase. You coordinate across teams to identify and solve problems, ensure regulatory compliance, and help deliver customer-friendly advisory services grounded in fiduciary duty and best practices.

What you'll do

• Operationalize the regulatory framework for the new business activity, including implementation of supervisory and operational policies and procedures
• Serve as a primary resource for customer service, business teams, and Robinhood's affiliated companies on compliance matters
• 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 avoidance of similar issues
• Build essential workflows including testing for books and records, establishing proper information barriers, and identifying conflicts of interest
• Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced, collaborative environment
• Demonstrate strong subject matter expertise while applying out-of-the-box thinking to provide superior client experience
• Support compliance needs across RAM when required

What you bring

• 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 to co-workers and leadership
• Exceptional organizational skills with the ability to think critically, solve problems, and implement process improvements
• Self-starter who pays close attention to detail
• Proactive awareness to spot and identify issues and take steps to resolve them
• Trustworthiness, high motivation, and ability to multi-task and thrive in an entrepreneurial environment

What we offer

• Challenging, high-impact work to grow your career
• Performance-driven compensation with 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, allowing eligible US employees to invest in private employee funds with exposure to Robinhood Ventures
• Access to leading AI tools and continuous AI skill-building for all employees
• Lifestyle wallet, a flexible benefits spending account for wellness, learning, and more
• Employer-paid life and disability insurance, fertility benefits, and mental health benefits
• Generous time off including company holidays, paid time off, sick time, and parental leave
• Base pay range dependent on location: Zone 1 (New York, NY and other major tech hubs) $94,000-$110,000 USD; Zone 2 (Denver, CO; Chicago, IL and similar) $82,000-$97,000 USD; Zone 3 (Lake Mary, FL and similar) $73,000-$86,000 USD

Location: This 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.

About Robinhood

Robinhood is building the future of finance by democratizing access to investing and financial planning. Robinhood Asset Management is a digital-first investment advisor delivering innovative financial planning services to a rapidly growing client base, supported by frontier technologies and a team committed to ethics and high performance.