Compliance Senior Specialist

Chicago, United StatesOn-site

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Responsibilities

Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures.
Conduct testing, surveillance, audits and exams, risk assessments, and annual reviews to validate supervision and controls are in place, and procedures are accurate
Research and respond to regulatory inquiries, exams and audits, complaint resolution, and client inquiries
Identify potential areas of compliance vulnerability and risk, propose solutions to resolve issues, and provide guidance for future avoidance of similar issues
Build essential workflows that achieve
Foster a culture of professionalism, client advocacy, and regulatory guidance within a fast-paced atmosphere of innovation and collaboration across several teams.
Demonstrate strong subject matter expertise, while allowing for out-of-the-box thinking, with a goal of providing superior client experience.

experience documenting best practices and procedures, creating surveillance tools, responding to regulatory requests and required filings, and advancing a compliance program forward in response to new rules and requirements.
experience with an investment adviser
Deep understanding of SEC Investment Advisers ‘40 Act and FINRA and regulations
Trustworthy, highly-motivated, multi-task oriented, and ability to thrive in an entrepreneurial environment, while pushing products and projects toward the finish line. What we offer
experience with catered meals, events, and comfortable workspaces.

An estimated $124 trillion of assets will be inherited by younger generations in the next two decades.
Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching. Best-in-class
benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.
Lifestyle wallet — a highly flexible
benefits spending account for wellness, learning, and more.
Employer-paid life & disability insurance, fertility benefits, and mental health benefits.
Time off to recharge including company holidays, paid time off, sick time, parental leave, and more! Exceptional office
In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.
Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands.
The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones.
For other locations not listed, compensation can be discussed with your recruiter during the interview process. Base Pay Range:
Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $115,000 — $135,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $101,000 — $119,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $89,000 — $105,000 USD

If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.
We are building an elite team, applying frontier technologies to the world’s biggest financial problems.
Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers.
We’re a high-performing, fast-moving team with ethics at the center of everything we do.
Expectations are high, and so are the rewards.
Robinhood Asset Management (“RAM”) is a digital-first investment advisor responsible for delivering investment advice to its rapidly growing client base. RAM is continuing to expand its business activities to meet the needs of clients with broader, more complex, and comprehensive advisory needs. Working with a dedicated team of qualified relationship managers and utilizing innovative technology resources, RAM will meet the needs of its clients by delivering this unique financial planning
The Compliance Specialist will help create and champion a culture of compliance for a new investment advisory business activity at the pre-launch and development stage.
As a primary point of contact, you will coordinate with teams across the broader Robinhood spectrum to identify and solve problems, research unique issues, and collaborate to achieve a successful launch.
You'll help set the path for a customer-friendly, compelling, and regulatorily compliant advisory service.
requirements of a fiduciary’s duty to serve clients and have