Skill Compatibility Diagnostics
Live technical match evaluated against role architecture & expected skills.
You have foundational skills, but may need to brush up on a few key required domains before the technical loop.
Your skills are processed strictly in-memory and never saved to a database.
About the Role
Join us in building the future of finance.
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades—the largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.
About the team + role
We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers, sharp problem-solvers, and builders who are wired to make an impact. Robinhood Asset Management (“RAM”) is a digital-first investment advisor responsible for delivering investment advice to its rapidly growing client base. RAM is continuing to expand its business activities to meet the needs of clients with broader, more complex, and comprehensive advisory needs.
The Compliance Operations Specialist will help support the operational aspects across the investment advisory business activities, including digital advice and a dedicated team of qualified relationship managers at the pre-launch stage. As a primary point of contact, you will coordinate with teams across the broader Robinhood spectrum to identify and solve problems, research unique issues, and collaborate to achieve a successful launch. This role is based in our Chicago, IL, or Denver, CO offices, with in-person attendance expected at least 3 days per week.
Key Technical Responsibilities
- check_circle Operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
- check_circle Be a primary resource for customer service and business teams, and across Robinhood’s affiliated companies.
- check_circle Participate in validation that supervision and controls are in place, and procedures are accurate.
- check_circle Research and respond to complaint resolution, and client inquiries.
- check_circle Identify potential areas of risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues.
- check_circle Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.
- check_circle Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.
- check_circle Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.
- check_circle Work as a team, supporting compliance needs across RAM when needed.
Prerequisites & Qualifications
- check 4-6 years of operational or compliance experience with an investment adviser.
- check Understanding of SEC Investment Advisers ’40 Act and FINRA and regulations.
- check Demonstrated written, verbal, and presentation skills to communicate ideas and information in a clear, concise manner, whether directly to co-workers and leadership teams.
- check Exceptional organizational skills with an ability to think critically, solve problems, and implement process improvements.
- check Self-starter who pays close attention to the details.
- check Awareness to spot and identify issues and proactively take steps to resolve.
- check Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish line.
About Robinhood Greenhouse Board
Verified hiring organization details.
Robinhood Greenhouse Board is a technology and software entity operating under the broader Robinhood ecosystem, with key operational locations in Denver, CO, and Westlake, TX. The organization focuses on technical development and talent acquisition initiatives to support Robinhood's mission of democratizing finance for all.