Compliance Operations Specialist

Chicago · Denver · Lake Mary, FL · New York, NY · 4-6 years experience · Posted Sep 22, 2026

At a glance

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.

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.

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, whether directly to co-workers and leadership teams
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

Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
100% paid health insurance for employees with 90% coverage for dependents
Access to the Robinhood Employee Fund
Access to the best AI tools on the market and continuous AI skill-building for every employee
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