Compliance Operations Specialist (Fintech)

Location: Hybrid role based in the Chicago, Denver, Lake Mary, or New York office, with in-person attendance expected at least 3 days per week.

Base pay: $73,000–$110,000 USD annually, depending on compensation zone, location, experience, and business needs. The role is also eligible for bonus opportunities, equity, and benefits.

Company

Robinhood is a digital-first financial services company building investment and advisory products designed to democratize finance.

What you will do

• Operationalize the regulatory framework for new investment advisory activities, including supervisory policies and procedures.
• Coordinate with customer service, business, and affiliated Robinhood teams to resolve issues and support a successful launch.
• Validate that supervision, controls, and operating procedures are accurate and effective.
• Research and respond to client complaints and inquiries while identifying potential areas of risk.
• Build workflows for books and records testing, information barriers, conflicts of interest, and other compliance requirements.
• Provide compliance guidance and support across Robinhood Asset Management.

Requirements

• 4–6 years of operational or compliance experience with an investment adviser.
• Understanding of the SEC Investment Advisers Act of 1940 and FINRA regulations.
• Strong written, verbal, and presentation skills.
• Exceptional organization, critical thinking, problem-solving, and process improvement abilities.
• Ability to identify issues proactively, work independently, manage multiple priorities, and perform effectively in an entrepreneurial environment.
• Ability to work from one of the listed US offices with in-person attendance at least 3 days per week.

Culture & Benefits

• High-impact work in a fast-paced environment focused on innovation, collaboration, professionalism, and client advocacy.
• Performance-driven compensation with bonus programs, equity ownership, and 401(k) matching.
• Health insurance, employer-paid life and disability insurance, fertility benefits, and mental health benefits.
• Paid time off, company holidays, sick time, and parental leave.
• Access to AI tools, AI skill-building, a flexible lifestyle wallet, and an employee investment fund for eligible US employees.
• Office experience with catered meals, events, and comfortable workspaces.