Registration and Onboarding Specialist

Robinhood • Chicago, NY

3d • Hybrid

About The Position

Robinhood’s Compliance Licensing & Registration Team supports the company’s US regulated entities, primarily FINRA Members, with licensing and registration for firms and individuals. The team supports broker/dealer registrants and Associated Persons through onboarding, filings, reporting, and guidance.

The Registration and Onboarding Specialist conducts day-to-day registration, onboarding, and related processing tasks, and helps maintain and update Licensing & Registration processes. The role is based in the Denver, Chicago, New York, or Lake Mary office, with in-person attendance expected at least three days per week.

Requirements

• Bachelor’s degree in a related field.
• At least 5 years of experience 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 and take initiative.
• Good written and verbal communication, analytical skills, and strong attention to detail.
• High emotional intelligence.
• Willingness 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 for FINRA Members, including Form BD and Form BR.
• File Forms U-4 and U-5 and related 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 documentation for registered persons and Associated Persons.
• Partner with the People Team on new-hire onboarding, including fingerprinting coordination and background-check review.
• Follow up on and obtain information for regulators’ disclosure requests.
• Lead designated special projects.
• Order examination materials and respond to examination-related questions.
• Maintain Standard Operating Procedure documentation and internal reference resources for registered persons 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 related data-delivery processes.

Benefits

• Performance-driven compensation, bonus programs, and equity ownership.
• 401(k) matching.
• Health insurance paid 100% for employees, with 90% coverage for dependents.
• Access to the Robinhood Employee Fund for eligible US employees.
• 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.

What This Job Offers

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