Brokerage Compliance Operations Associate

Robinhood • Lake Mary, FL

7d • $27 - $37 • Hybrid

About The Position

Robinhood is seeking a Brokerage Compliance Operations Associate to join their elite team. The Compliance Licensing & Registration team supports FINRA Member entities under Robinhood Markets regarding firm and individual licensing & registration. This role is responsible for the day-to-day process of Robinhood’s registration, onboarding, and general processing of related tasks, assisting with the adherence, maintenance, and updates of Licensing & Registration processes. This position reports into the Compliance Registration and Onboarding Manager and is located in our Westlake, TX office, with in-person attendance expected at least 3 days per week. Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and the Registration Team within RHF Compliance focuses on supporting firm and individual broker/dealer licensing & registration for RHF and for Robinhood Securities, Robinhood’s clearing broker/dealer. The team is responsible for onboarding new broker/dealer registrants and associated persons, helping with disclosures and reporting for individuals and the firm, and providing guidance and support for 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
• Filing Form U-4, Form U-5, and Amendments as appropriate
• Filing 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.
• Responding to questions and providing 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
• Responding to questions and providing support for Associated Persons in the licensing and registration area.
• Assist in tasks related to FINRA Rule 1240 and documentation
• Fostering and contributing to a culture of high ethical standards and integrity and promoting 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, 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level