Compliance Operations Specialist

About This RoleAI processing…

Key Responsibilities

• 1
  Operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
• 2
  Be a primary resource for customer service and business teams, and across Robinhood’s affiliated companies
• 3
  Participate in validation that supervision and controls are in place, and procedures are accurate
• 4
  Research and respond to complaint resolution, and client inquiries
• 5
  Identify potential areas of risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
• 6
  Build essential workflows that achieve requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest.
• 7
  Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.
• 8
  Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.
• 9
  Work as a team, supporting compliance needs across RAM when needed.

Requirements

• 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 lin

Perks & Benefits