Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wea…
Journey with us! Combine your career goals and sense of adventure by joining our exciting team of employees. Royal Caribbean Group is pleased to offer a competitive compensation and benefits package, and excellent career…
Skills: PAC Management, Political Fundraising, Campaign Finance Compliance, Public Affairs, Government Relations
Job Description The Food Service Manager is a management position responsible for developing and implementing dining solutions to meet customer needs and tastes. Oversees and manages dining operations where customers ord…
Our vision is simple. In our commitment to the Southeast, we create architecture that enriches community through a culture of design excellence and expertise, innovation and collaborative engagement. What sets us apart i…
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LS3P ASSOCIATES LTD.
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National Vision Inc.
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Jacksonville, Florida, United States · On-site
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$20/hr–$23/hr
Entry level$2.6B raised
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Crafting the world’s finest coffee, one meaningful moment at a time We believe in creating a warm and welcoming space where every cup of coffee sparks connection. Every shift is a chance to brighten someone’s day. As a s…
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Jacksonville, Florida, United States · On-site
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Raising Cane's Chicken Fingers
Operations Manager
Tallahassee, Florida, United States · On-site
Mid level
Company Description Initial hiring pay range (based on location, experience, etc.): $21.50/hour At Raising Cane’s Chicken Fingers®, we serve only the most craveable chicken finger meals – it’s our One Love! Known for our…
Develop and operationalize the regulatory framework and supervisory policies for a new investment advisory business. Conduct testing, audits, and risk assessments while responding to regulatory inquiries and managing compliance vulnerabilities.
Requirements
Requires 5-10 years of compliance experience with an investment adviser and deep knowledge of SEC and FINRA regulations. Candidates must possess strong communication skills and the ability to thrive in an entrepreneurial, fast-paced environment.
Full job description
Join us in building the future of finance.
Our mission is to democratize finance for all. An estimated $124 trillion of assets 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 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 for your country of application.
Related keywords
ComplianceInvestment AdviserSECFINRAFiduciary DutyRisk ManagementRegulatory FrameworkAuditSurveillanceBooks and RecordsInformation BarriersFinancial PlanningAsset ManagementRegulatory FilingsCompliance Program
How much do Management & Leadership jobs in Florida pay?
Based on 6717 listings with disclosed salaries, most management & leadership jobs in Florida pay between $62k–$168k per year. Individual offers vary with seniority, company size, and specialization.
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