Compliance Senior Specialist

Skills

About the Role

You will help create and champion a culture of compliance for a new investment advisory business at the pre-launch and development 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. You will develop and operationalize the regulatory framework around a new business activity, conduct testing, surveillance, audits, risk assessments, and annual reviews, and research and respond to regulatory inquiries, exams, and client inquiries. You will identify areas of compliance vulnerability and risk, propose solutions, build essential workflows for books and records testing, information barriers, and conflicts of interest, and foster a culture of professionalism, client advocacy, and regulatory guidance in a fast-paced, innovative environment.

Requirements

• 5-10 years compliance experience with an investment adviser
• Deep understanding of SEC Investment Advisers '40 Act and FINRA regulations
• Demonstrated written, verbal, and presentation skills to communicate clearly with co-workers, leadership, committees, and regulators
• Exceptional organizational skills with ability to think critically, solve problems, and implement process improvements
• Self-starter with close attention to detail
• Ability to spot and identify issues and proactively resolve them
• Ability to thrive in an entrepreneurial environment and push products and projects toward completion

Responsibilities

• Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures
• Serve as a primary resource for operations, customer service, and business teams across Robinhood's affiliated companies
• Conduct testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls
• Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries
• Identify potential areas of compliance vulnerability and risk, propose solutions, and provide guidance for future avoidance of similar issues
• Build essential workflows including testing for books and records, establishing information barriers, and identifying conflicts of interest
• Foster a culture of professionalism, client advocacy, and regulatory guidance across several teams
• Support compliance needs across RAM when needed

Benefits

• Bonus programs and equity ownership
• 401(k) matching
• 100% paid health insurance for employees with 90% coverage for dependents
• Lifestyle wallet flexible benefits spending account for wellness and learning
• Employer-paid life and disability insurance
• Fertility benefits
• Mental health benefits
• Company holidays, paid time off, sick time, and parental leave
• Catered meals and office events