# Compliance Senior Specialist **Company**: Robinhood **Location**: Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY **Work arrangement**: hybrid **Experience**: senior **Job type**: full-time **Salary**: $115,000-$135,000 USD **Category**: Finance **Industry**: Finance **Apply**: https://job-boards.greenhouse.io/robinhood/jobs/8077870?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply **Canonical**: https://yubhub.co/jobs/job_92539690-ae0 ## Description Join us in building the future of finance. Our mission is to democratize finance for all. 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. As a Compliance Senior Specialist, you will help create and champion a culture of compliance for a new investment advisory business activity at the pre-launch and development stage. 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. Responsibilities: - Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures. - Be a primary resource for operations, customer service, and business teams, and across Robinhood’s affiliated companies. - Conduct testing, surveillance, audits, and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate. - Research and respond to regulatory inquiries, exams, and audits, complaint resolution, and client inquiries. - Identify potential areas of compliance vulnerability and 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 records, 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. Requirements: - 5-10 years compliance experience with an investment adviser. - Deep understanding of SEC Investment Advisers ‘40 Act and FINRA and regulations. - Demonstrated written, verbal, and presentation skills to communicate ideas and information in a clear, concise manner. - Exceptional organizational skills with an ability to think critically, solve problems, and implement process improvements. - Self-starter who pays close attention to the 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, while pushing products and projects toward the finish line. 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. - Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents. - Lifestyle wallet , a highly flexible benefits spending account for wellness, learning, and more. - Employer-paid life & disability insurance, fertility benefits, and mental health benefits. - Time off to recharge including company holidays, paid time off, sick time, parental leave, and more! - Exceptional office experience with catered meals, events, and comfortable workspaces. Salary: - Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC): $115,000-$135,000 USD - Zone 2 (Denver, CO; Westlake, TX; Chicago, IL): $101,000-$119,000 USD - Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL): $89,000-$105,000 USD ## Skills ### Required - SEC Investment Advisers ‘40 Act - FINRA regulations - compliance experience - written and verbal communication - organizational skills - problem-solving - process improvements --- Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/robinhood/jobs/8077870?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)