The Compliance Operations Specialist at Robinhood Asset Management will support the operational aspects of the investment advisory business, focusing on regulatory compliance and customer service. This role is part of a high-performing team dedicated to applying innovative technologies to solve significant financial challenges. The specialist will coordinate with various teams to ensure a successful launch of advisory services while maintaining compliance with fiduciary duties. The position requires in-person attendance at one of several office locations, fostering collaboration and innovation.

• 4-6 years of operational or compliance experience with an investment adviser.
• Understanding of SEC Investment Advisers '40 Act and FINRA regulations.
• Demonstrated written, verbal, and presentation skills to communicate ideas clearly.
• Exceptional organizational skills with the ability to think critically and solve problems.
• Self-starter with attention to detail and the ability to identify and resolve issues.

• Operationalize the regulatory framework around new business activities.
• Serve as a primary resource for customer service and business teams.
• Participate in validating that supervision and controls are in place.
• Research and respond to complaint resolutions and client inquiries.
• Identify potential areas of risk and propose solutions to resolve issues.
• Build essential workflows to achieve compliance requirements.
• Foster a culture of professionalism and regulatory guidance within the team.
• Support compliance needs across RAM as necessary.