# Compliance Operations Specialist **Company**: Robinhood **Location**: Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY **Work arrangement**: hybrid **Experience**: senior **Job type**: full-time **Salary**: Zone 1: $94,000-$110,000 USD, Zone 2: $82,000-$97,000 USD, Zone 3: $73,000-$86,000 USD **Category**: Finance **Industry**: Finance **Apply**: https://job-boards.greenhouse.io/robinhood/jobs/8077864?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply **Canonical**: https://yubhub.co/jobs/job_d39cb3fc-d8f ## 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. Builders who are wired to make an impact. 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. 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. Requirements: - 4-6 years of operational or compliance experience with an investment adviser. - 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. 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. - Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents. - Access to the Robinhood Employee Fund that gives eligible US employees the opportunity to invest in a private employee fund that provides exposure to Robinhood Ventures funds. - Access to the best AI tools on the market and continuous AI skill-building for every employee, technical or not. - 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. Base Pay Range: Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC): $94,000-$110,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL): $82,000-$97,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL): $73,000-$86,000 USD ## Skills ### Required - SEC Investment Advisers ‘40 Act - FINRA regulations - compliance experience - operational experience - written and verbal communication skills - organizational skills - problem-solving skills --- Source: [Apply at job-boards.greenhouse.io](https://job-boards.greenhouse.io/robinhood/jobs/8077864?utm_source=yubhub.co&utm_medium=jobs_feed&utm_campaign=apply)