Registration and Onboarding Specialist
About The Position
The Compliance Registration and Onboarding Associate supports the day-to-day registration, onboarding, and related processing work for Robinhood’s regulated entities, primarily FINRA Members. The role also helps maintain and update Licensing & Registration processes and supports both the firm and its Associated Persons. The position is based in Robinhood’s Denver, Chicago, New York, or Lake Mary office, with in-person attendance expected at least three days per week. The role works with Compliance, People, and Associated Persons to handle regulatory filings, onboarding, documentation, examinations, and registration-related questions. It also contributes to process improvement, compliance with applicable requirements, and a culture of high ethical standards and integrity.
Requirements
- Bachelor’s degree in a related field.
- At least 5 years of experience working in Compliance, Licensing & Registration, or a related brokerage function.
- Strong working knowledge of FINRA CRD / Gateway.
- Strong understanding of FINRA Registration and Rules (1000–3000).
- Ability to work independently as a self-starter.
- Good written and verbal communication, analytical skills, and strong attention to detail.
- High emotional intelligence.
- Motivation to learn new skills and tools and seek out knowledge.
- Focus on using AI to increase impact in the role.
Responsibilities
- Support regulatory filing needs of FINRA Members, including Form BD and Form BR.
- File Form U-4, Form U-5, and amendments.
- File Form NRF and NRF amendments.
- Collect and retain documentation for Associated Person employee files in compliance with SEC Rule 17a-3(a)(12).
- Assist with MyComplianceOffice tasks related to Associated Person requirements.
- Participate in developing and implementing process improvements to improve the quality and scalability of examination and registration processes.
- Maintain registered and Associated Person documentation.
- Partner with the People Team on new-hire onboarding, including coordinating fingerprinting, reviewing background checks, and following up on information requested by regulators for disclosures.
- Lead designated special projects.
- Order examination materials and respond to examination-related questions.
- Maintain Standard Operating Procedure documentation and internal reference resources for Registered and Associated Persons.
- Respond to questions and provide licensing and registration support to Associated Persons.
- Review Outside Business Activities, Private Securities Transactions, Gifts & Entertainment, and Professional Designations for alignment with policies.
- Assist with tasks related to FINRA Rule 1240 Continuing Education.
- Promote high ethical standards and integrity, and support the company’s core values, risk culture, and risk appetite.
- Support broker feed offerings and processes for delivering data.
Benefits
- Performance-driven compensation, bonus programs, and equity ownership.
- 401(k) matching.
- Health insurance paid 100% for employees and 90% for dependents.
- Access for eligible US employees to invest in a private employee fund providing exposure to Robinhood Ventures funds.
- Access to AI tools and continuous AI skill-building.
- Flexible lifestyle spending account for wellness, learning, and more.
- Employer-paid life and disability insurance.
- Fertility benefits.
- Mental health benefits.
- Company holidays, paid time off, sick time, and parental leave.
- Catered meals, events, and comfortable workspaces.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
