Compliance Operations Specialist
Robinhood helps users invest in stocks, ETFs, options, and cryptocurrencies through commission-free trading with no minimum account requirements.
Maintainer signals as of 9/2/2026
Funding history
Investors
Projects
About Robinhood
Robinhood helps retail investors access financial markets through commission-free trading of stocks, ETFs, options, and cryptocurrencies. With it, users can invest with no account minimums, earn rewards through retirement accounts with matching contributions, and access advanced trading tools. Robinhood democratizes investing by making financial markets accessible to everyone, not just wealthy investors.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will support compliance operations for investment advisory activities. You will implement supervisory policies and procedures, validate controls, research and resolve complaints and client inquiries, identify risks, and build compliant workflows for records, information barriers, and conflicts of interest.
Requirements
- 4-6 years of operational or compliance experience with an investment adviser
- Understanding of SEC Investment Advisers Act of 1940 and FINRA regulations
- Written, verbal, and presentation communication skills
- Organizational skills
- Critical thinking
- Problem-solving
- Process improvement
- Attention to detail
Responsibilities
- Operationalize regulatory frameworks for new business activities
- Implement supervisory and operational policies and procedures
- Serve as a compliance resource for customer service and business teams
- Validate that supervision, controls, and procedures are accurate
- Research and respond to complaints and client inquiries
- Identify risks, propose resolutions, and provide prevention guidance
- Build workflows for recordkeeping, information barriers, and conflict identification
- Support compliance needs across investment advisory activities
Benefits
- Bonus opportunities
- Equity ownership
- 401(k) matching
- 100% paid health insurance for employees
- 90% health insurance coverage for dependents
- Access to the Robinhood Employee Fund for eligible US employees
- Lifestyle wallet
- Employer-paid life and disability insurance
- Fertility benefits
- Mental health benefits
- Company holidays
- Paid time off
- Sick time
- Parental leave
- Catered meals
- Office events