Regulatory Reporting Compliance Associate

Robinhood•Chicago, FL

9d•Hybrid

About The Position

The Regulatory Reporting Compliance Associate will join Robinhood’s Compliance team, which helps the firm meet obligations under internal policy, SEC rules, and FINRA regulations. The role reviews customer complaints from multiple channels, determines whether regulatory filings are required, and reports findings. It works closely with Customer Experience and supports technology, audit, fraud, and training partners. The associate owns the complaint review process, including complaint collection and review coordination, quality assurance, risk escalation, regulatory disclosures and reports, and complaint trend analysis. The role develops controls, metrics, recommendations, standard operating procedures, and workflow maps, and provides direction and training to contractors and other team members. The role is based in the Chicago, Denver, or Lake Mary offices, with in-person attendance expected at least three days per week.

Requirements

Bachelor's degree.
At least 1 year of experience in a compliance role.
General understanding of brokerage operations and compliance functions.
Ability to find answers and identify trends and drivers through data and metrics.
Ability to work independently and take initiative.
Clear written and verbal communication, strong analytical skills, and close attention to detail.
Strong partnership skills.
Ability to manage multiple tasks and set priorities in a fast-paced environment.

Nice To Haves

Operations experience in Compliance or a related function in financial services.
Enthusiasm for learning in a fast-growing company.
Active FINRA licensure (Series 7).
Experience with FINRA Rule 4530.

Responsibilities

Own the complaints review process and determine which complaints require regulatory filing.
Serve as a subject matter expert, providing direction and training to the contractor team.
Perform quality assurance reviews of customer complaint cases.
Prepare and file Rule 4530(a)(1)(B) 30-day disclosures.
Prepare and submit the quarterly FINRA Rule 4530(d) report.
Build controls, provide metrics, and analyze complaint data trends.
Use complaint insights to help other teams anticipate customer needs before regulatory issues arise.
Help train team members and troubleshoot the complaint review workflow.
Draft and refine Standard Operating Procedures and map process workflows.
Prepare quarterly metrics for senior management.
Support teammates with their responsibilities as needed.