About the role
The Robinhood Asset Management team is building a digital-first investment advisory service. The Compliance Operations Specialist supports the operational aspects of this business, coordinating with various teams to solve problems and ensure regulatory compliance. This role involves documenting procedures, creating surveillance tools, and responding to client inquiries.
Our summary of the posting; the original is on the Robinhood careers page.
What the posting requires
- Required
- Process improvement
- Documentation
- Surveillance tools
- Best practices
- Procedures
- SEC
- Compliance program
- Fiduciary duty
- FINRA
- Preferred
- Workflow development
- Information barriers
- Conflict of interest
- Books and records
These tags are our reading of the posting. They can miss something; the original posting is the reference.