Compliance Senior Specialist

📋 Description

• Develop, administer, and operationalize the regulatory framework for a new activity.
• Be a primary resource for operations, customer service and teams across Robinhood affiliates.
• Conduct testing, surveillance, audits, and risk assessments to validate controls.
• Research and respond to regulatory inquiries, exams, and client inquiries.
• Identify compliance risks and propose solutions to resolve issues.
• Build workflows for books/records testing, information barriers, and conflicts of interest.

🎯 Requirements

• 5-10 years compliance experience with an investment adviser.
• Deep understanding of SEC Investment Advisers Act and FINRA regulations.
• Strong written, verbal, and presentation skills to communicate with colleagues and regulators.
• Exceptional organizational skills; ability to think critically and improve processes.
• Self-starter with strong attention to detail.
• Ability to spot issues and proactively resolve them.

🎁 Benefits

• Challenging, high-impact work to grow your career.
• Performance-driven compensation with bonuses, equity, and 401(k) matching.
• 100% paid health insurance with 90% coverage for dependents.
• Lifestyle wallet: flexible benefits spending account.
• Employer-paid life and disability insurance, fertility, and mental health benefits.
• Time off to recharge: holidays, PTO, sick time, parental leave, and more.