Brokerage Compliance Operations Associate

Robinhood•Denver, FL

7d•Hybrid

About The Position

Robinhood is seeking a Brokerage Compliance Operations Associate to join their Compliance Licensing & Registration team. This team supports FINRA Member entities under Robinhood Markets, focusing on firm and individual licensing and registration. The role involves managing the day-to-day processes of registration, onboarding, and related tasks, ensuring adherence to and maintenance of Licensing & Registration processes. The position is based in Denver, CO, Westlake, TX, or Lake Mary, FL, with a requirement for in-person attendance at least 3 days per week. The role reports to the Compliance Registration and Onboarding Manager and is specifically located in the Westlake, TX office. Robinhood Financial (RHF) is Robinhood’s retail broker/dealer, and the Registration Team within RHF Compliance supports firm and individual broker/dealer licensing & registration for RHF and Robinhood Securities, Robinhood’s clearing broker/dealer. The team handles onboarding new broker/dealer registrants and associated persons, managing disclosures and reporting, and providing guidance to representatives.

Requirements

Bachelor’s Degree in a related field
2+ years working in Compliance, Customer Experience, or related Brokerage function
Motivation to be a self-starter with ability to work independently
Good written and verbal communication, analytical skills and strong attention to detail
High emotional intelligence (EQ)
Driven to learn new skills, tools, and seek out knowledge
Focused on utilizing AI to increase impact in role

Nice To Haves

Passion for working and learning in a fast-growing company
Strong understanding of FINRA Registration and Rules
FINRA Licensing Superset Proficiency
Familiarity with FINRA CRD

Responsibilities

Support the regulatory filing needs of FINRA Members
File Form U-4, Form U-5, and Amendments as appropriate
File Form NRF and NRF Amendments as appropriate
Collect and ensure documentation is retained for Associated Person employee files for compliance w/ SEC Rule 17a-3(a)(12)
Assist with MyComplianceOffice tasks relating to Associated Persons requirements
Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process
Maintain registered and associated persons documentation
Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review and following up on and obtaining information for disclosure requests by regulators
Respond to questions and provide support for Associated Persons
Provide overall support on special projects as designated
Responsible for ordering examination materials and responding to examination related questions
Maintain Standard Operating Procedure documentation
Maintain internal resources for reference by Registered and Associated Persons
Respond to questions and provide support for Associated Persons in the licensing and registration area
Assist in tasks related to FINRA Rule 1240 and documentation
Foster and contribute to a culture of high ethical standards and integrity and promote the core values, risk culture and risk appetite
Provide support to broker feed team for onboarding and maintenance of tool

Benefits

Challenging, high-impact work to grow your career
Performance-driven compensation with multipliers for outsized impact
Bonus programs
Equity ownership
401(k) matching
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
Mental health benefits
Company holidays
Paid time off
Sick time
Parental leave
Exceptional office experience with catered meals, events, and comfortable workspaces