Greenhouse ·
full-timeCompliance Operations Specialist
Robinhood · Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY
Robinhood is a financial technology company that provides brokerage, investment, and cash‑management services to retail customers. The Compliance Operations Specialist will support the newly launched Robinhood Asset Management advisory business by turning regulatory requirements into day‑to‑day operating procedures. Working closely with product, relationship‑manager, and broader Robinhood teams, the role involves researching regulatory questions, documenting best‑practice processes, building surveillance tools, and ensuring that all activities meet fiduciary standards and SEC Investment Advisers Act of 1940, FINRA, and other applicable rules. Day‑to‑day tasks include coordinating launch activities, responding to client inquiries and complaints, identifying risk gaps, proposing remediation, and maintaining books‑and‑records controls. The position is based in one of Robinhood’s offices in Chicago, IL; Denver, CO; Lake Mary, FL; or New York, NY, with an expectation of at least three days per week in person. Ideal candidates have four to six years of compliance or operations experience within an investment adviser setting, a solid grasp of the relevant securities regulations, and strong written and verbal communication skills to convey complex requirements clearly across teams.
Education
- Level: Bachelor's degree
Key Skills
Notes
['In-person attendance ≥3 days/week', '4-6 years operational/compliance experience required']
Experience required
4-6 years experienceAbout the Role The Compliance Operations Specialist supports operational aspects of Robinhood Asset Management's investment advisory business, coordinating across teams to ensure regulatorily compliant advisory services. Responsibilities Operationalize regulatory frameworks, implement supervisory and operational policies, serve as primary resource for customer service and business teams, validate supervision and controls, research and respond to complaints, identify risk areas and propose solutions, build essential workflows, foster a culture of professionalism and client advocacy. Requirements 4-6 years operational or compliance experience with an investment adviser, understanding of SEC Investment Advisers ‘40 Act and FINRA regulations, strong written, verbal and presentation communication skills.
Skills for this role
Required skills
Also mentioned in the listing
| Role | Compliance Operations Specialist |
|---|---|
| Company | Robinhood |
| Location | Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY |
| Compensation | Not disclosed |
| Posted | 2026-09-25 |
| Deadline | Rolling |
Typical process for this type of role
A general guide — the exact steps for this specific listing may vary; check the original posting for details.
- 1ApplicationSubmit your resume through the apply link.
- 2ScreeningRecruiter reviews your background against the role.
- 3AssessmentA technical test, assignment, or coding round, depending on the role.
- 4Interview(s)One or more rounds with the hiring team.
- 5OfferOffer letter with compensation and start date.
Before you apply
0/4Compliance Operations Specialist at Robinhood: frequently asked questions
- Who can apply for the Compliance Operations Specialist role at Robinhood?
- The listing asks for Bachelor's degree; 4-6 years of experience.
- What skills does the Compliance Operations Specialist role require?
- The listing highlights Regulatory compliance, SEC 40 Act, FINRA, Risk assessment, Process documentation, Surveillance tools, Operational policies. Show each of these in a project or past role on your resume.
- What is the salary for this role?
- Robinhood has not stated compensation in the listing. Check the original posting or ask during the application process.
- Is the Compliance Operations Specialist position remote, hybrid or onsite?
- The listing marks this role as hybrid, with Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY as the location.
- What is the application deadline?
- Robinhood has not listed a fixed deadline, so apply early in case the opening is filled.
- How do I apply for the Compliance Operations Specialist role?
- Use the Apply button on this page. It opens the original listing on boards.greenhouse.io, where you submit your application with the company.
More at Robinhood
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- Retirement Services Specialist · Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY
- Senior Product Manager, Gold Growth · Menlo Park, CA; New York, NY
- Director Of Partnerships, Robinhood Money · New York, NY
- Chief Compliance Officer, UK · London, UK
Internships at Robinhood
- Data Science Intern (summer 2027) · Menlo Park, CA
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