Compliance Senior Specialist (Fintech)

Location: Chicago, Denver, Lake Mary, New York, Westlake, Menlo Park, Bellevue, Washington, Clearwater, or Gainesville, United States; in-person attendance expected at least 3 days per week.

Base pay: $89,000–$105,000 in Zone 3, $101,000–$119,000 in Zone 2, or $115,000–$135,000 in Zone 1 per year, plus bonus opportunities, equity, and benefits.

Company

Robinhood is a digital-first financial services company building technology-driven investment and advisory products to expand access to finance.

What you will do

• Develop, administer, and operationalize the regulatory framework for a new investment advisory activity.
• Implement supervisory and operational policies, procedures, workflows, and information barriers.
• Conduct testing, surveillance, audits, examinations, risk assessments, and annual reviews.
• Research and respond to regulatory inquiries, examinations, audits, complaints, filings, and client questions.
• Identify compliance vulnerabilities, conflicts of interest, and control gaps, then propose remediation plans.
• Advise operations, customer service, business teams, affiliated companies, and RAM stakeholders on compliance matters.

Requirements

• 5–10 years of compliance experience with an investment adviser.
• Deep understanding of the SEC Investment Advisers Act of 1940 and FINRA regulations.
• Experience documenting best practices and procedures, creating surveillance tools, and advancing compliance programs.
• Strong written, verbal, and presentation skills for communication with colleagues, leadership, committees, and regulators.
• Exceptional organization, critical thinking, problem-solving, and process improvement abilities.
• Ability to work in a fast-paced, entrepreneurial environment and support multiple compliance priorities.

Culture & Benefits

• High-impact work supporting the launch of a new investment advisory business activity.
• 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.
• Flexible lifestyle wallet for wellness, learning, and other eligible expenses.
• In-person office experience with catered meals, events, and comfortable workspaces.