--- title: 'Compliance Senior Specialist at Robinhood' canonical: 'https://feeny.ai/job/compliance-senior-specialist-robinhood-chicago-0m5cnty8s8nm' type: 'job' last_seen: '2026-09-11' --- # Compliance Senior Specialist at Robinhood - **Company:** Robinhood - **Location:** Chicago, IL / Denver, CO / Lake Mary, FL / New York, NY - **Compensation:** $89k–$135k - **Posted:** 2026-07-22 - **Last confirmed live:** 2026-09-11 - **Apply:** https://boards.greenhouse.io/robinhood/jobs/8077870?t=gh_src=&gh_jid=8077870 ## Job description Join us in building the future of finance. Our mission is to democratize finance for all. [An estimated $124 trillion of assets](https://www.cerulli.com/press-releases/cerulli-anticipates-124-trillion-in-wealth-will-transfer-through-2048) will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading. ## About the team + role We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. 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 service conveniently at their fingertips, anytime and anywhere. 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. You will be expected to apply the requirements of a fiduciary’s duty to serve clients and have 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. This role is based in our New York, Chicago, Westlake, TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected at least 3 days per week. At Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams. ## What you’ll do - Develop, administer, and operationalize the regulatory framework around a new business activity, including implementation of supervisory and operational policies and procedures. - Be a primary resource for operations, customer service and business teams, and across Robinhood’s affiliated companies - 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 requirements including testing for books and record, establish proper information barriers, and identify conflicts of interest. - 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. - Work as a team, supporting compliance needs across RAM when needed. - ## What you bring - 5-10 years compliance experience with an investment adviser - Deep 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, leadership teams, and committee members, as well as regulators. - 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 line. ## What we offer - Challenging, high-impact work to grow your career. - 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 experience with catered meals, events, and comfortable workspaces. 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 Click [here](https://careers.robinhood.com/benefits) to learn more about our Total Rewards, which vary by region and entity. If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application. Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the [Privacy Policy](https://careers.robinhood.com/applicantprivacypolicy) for your country of application. ## About Robinhood ## Company Overview - **One-liner**: Robinhood is a commission-free investing platform that democratizes retail finance by eliminating trading fees and lowering barriers to entry for stocks, ETFs, options, and cryptocurrency. - **Entity Type**: Public (ticker: HOOD) – listed on NASDAQ - **Headquarters**: Menlo Park, California, United States - **Founded**: 2013 - **Founders**: Vlad Tenev and Baiju Bhatt ## Core Business - **Primary industry**: Fintech / Online Brokerage / Financial Services - **Target customers**: B2C – retail investors, from first-time investors to experienced traders; also serves active traders via Robinhood Legend - **Mission statement**: “Democratize finance for all.” ## Products & Services - **Robinhood App (Mobile & Web)**: Commission-free trading of stocks, ETFs, options, and cryptocurrencies (BTC, ETH, XRP, SOL, DOGE, SHIB, etc.). Start with as little as $1. - **Robinhood Gold**: Premium subscription ($5/month) offering features like larger instant deposits, professional research, and zero management fees on every dollar over $100K for managed portfolios. - **Robinhood Legend**: A desktop trading platform for active traders with advanced tools and real-time data. - **Cash Management / Sweep**: Uninvested cash swept to FDIC-insured program banks (up to $2.25M in coverage). - **Crypto Trading**: Robinhood Crypto allows buying, selling, and transferring multiple cryptocurrencies. - **Robinhood Credit Card**: (Not detailed in search results but widely known; not required here.) ## Market Standing - **Valuation/Market Cap**: Not directly stated in results; earlier reports show $10.6B valuation (likely historical). As a public company, market cap fluctuates – check latest. - **Key Metric**: Record annual revenue of **$2.95B** for FY2024; **35M+ funded customers**; **over 23 million funded accounts**. - **Notable Investors/Partners**: Not explicitly listed in the provided snippets, but Robinhood is a publicly traded company with institutional investors. - **Growth Signals**: - Record revenue growth driven by net interest income, Gold subscription growth (exceeding 2.6M subscribers), and transaction-based revenue recovery in options and crypto. - Continued expansion into crypto, active trading tools, and gold subscription services. - Headcount: ~2,700 employees (as per researchorg.com). ## Competitive Advantages - **First-mover in commission-free trading**: Disrupted the brokerage industry by eliminating per-trade commissions. - **Mobile-first, user-friendly interface**: Lowers the barrier for new investors. - **Integrated ecosystem**: Stocks, options, crypto, cash management, and a premium tier all in one app. - **Strong brand and community**: Viral customer acquisition and high retention. - **Scale and network effects**: 35M+ funded customers create a large, engaged user base. - **Regulatory compliance**: Registered with SEC, FINRA, SIPC (up to $500k securities protection), SOC 2 Type II certified, and FDIC sweep coverage. ## Strategic Focus - **Deepening the financial services stack**: Expanding beyond trading into cash management, credit, and premium subscriptions. - **AI and automation**: Embracing AI across the product and operations (the company expects AI fluency from all employees). - **Active trading and professional tools**: Growing the Legend platform to capture higher-volume traders. - **International expansion** (not explicit in results but likely a priority). - **Maintaining a “high performance culture”** while scaling carefully with a lean, elite team. ## Why Work Here - **Culture highlights**: Robinhood describes itself as a **high-performance environment** with a “special forces” mentality – fast-moving, high-impact, and results-driven. Values include “First Principles Thinking,” “Insane Customer Focus,” “Lean & Disciplined,” and “One Robinhood.” Egos are checked; the best solution wins. - **Remote/hybrid/office**: The search results do not specify current policy. Historically, Robinhood has been office-first with some flexibility. Check the careers page for the most up-to-date policy. - **Notable perks and engineering culture**: - Cutting-edge technical challenges (scale, security, real-time trading). - AI fluency is a baseline expectation – the company invests in AI tools (e.g., BrightHire for note-taking) and expects candidates to be AI-savvy. - 24/7 support and protection guarantee for customers. - Interview process includes real-world problem-solving, system design, and case studies – no AI tools allowed during live interviews. - Background checks and fingerprinting for certain roles. - **For job seekers**: Robinhood is not for everyone – the pace is demanding and goals are ambitious. But for those who thrive in high-performance, elite teams, it offers rapid impact and ownership. ## Sources 1. [careers.robinhood.com](https://careers.robinhood.com/) 2. [robinhood.com/us/en/about-us/](https://robinhood.com/us/en/about-us/) 3. [robinhood.com/us/en/](https://robinhood.com/us/en/) 4. [researchorg.com/company/robinhood](https://www.researchorg.com/company/robinhood) 5. [robinhood.com/us/en/careers/blog/everything-you-need-to-know-about-interviewing-at-robinhood/](https://robinhood.com/us/en/careers/blog/everything-you-need-to-know-about-interviewing-at-robinhood/) ## Other roles at Robinhood - [Engineering Manager, International](https://feeny.ai/job/engineering-manager-international-robinhood-toronto-c4qxq11wg2et) — Toronto, Canada - [Engineering Manager, International](https://feeny.ai/job/engineering-manager-international-robinhood-new-york-cqc7tetftsfj) — New York, NY - [Senior Software Engineer, Tokenization](https://feeny.ai/job/senior-software-engineer-tokenization-robinhood-toronto-b1wkmngt2k22) — Toronto, Canada - [Senior Software Engineer, Tokenization](https://feeny.ai/job/senior-software-engineer-tokenization-robinhood-menlo-park-ffy5qhb1betb) — Menlo Park, CA / New York, NY - [Software Engineer, Tokenization](https://feeny.ai/job/software-engineer-tokenization-robinhood-toronto-g345hcjjw4b6) — Toronto, Canada - [Software Engineer, Tokenization](https://feeny.ai/job/software-engineer-tokenization-robinhood-menlo-park-xagrj5ck35sa) — Menlo Park, CA / New York, NY - [Staff Data Scientist (Quantitative Researcher)](https://feeny.ai/job/staff-data-scientist-quantitative-researcher-robinhood-new-york-yap4bc1sp8ce) — New York, NY - [Cashiering Support Associate](https://feeny.ai/job/cashiering-support-associate-robinhood-clearwater-gazs23m2s9kz) — Clearwater, FL - [Web Developer](https://feeny.ai/job/web-developer-robinhood-toronto-c39t92rzg8pq) — Toronto, Canada - [AML Investigator](https://feeny.ai/job/aml-investigator-robinhood-denver-sywk42h1bnrq) — Denver, CO / New York, NY / Westlake, TX