Join a leading fintech company that's democratizing finance for all.
Robinhood was founded on a simple idea: that our financial markets should be
accessible to all. With customers at the heart of our decisions, Robinhood is
lowering barriers and providing greater access to financial information.
Together, we are building products and services that help create a financial
system everyone can participate in.
As we continue to build...
We're seeking curious, growth minded thinkers to help shape our vision,
structures and systems; playing a key-role as we launch into our ambitious
future. If you're invigorated by our mission, values, and drive to change the
world — we'd love to have you apply.
Robinhood has a primary in-office working environment; please be sure you have
reviewed the preferred working location(s) for this role before applying.
About the team + role
The Compliance Licensing & Registration team supports Robinhood Financial
(Robinhood's retail broker/dealer) and Robinhood Securities (Robinhood's
clearing broker/dealer) regarding firm and individual licensing &
registration. 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.
The Compliance Registration and Onboarding Associate will be responsible for
conducting the day-to-day process of Robinhood's registration, onboarding, and
general processing of related tasks. The successful candidate will be
responsible for assisting with the development and design of departmental
processes and guidelines.
What you'll do
Day-to-day processing for licensing examinations, registrations and
Associated Person onboarding.
Collect and ensure documentation is retained for Associated Person
employee files for compliance w/ SEC Rule 17a-3(a)(12)
Filing Form U-4, Form U-5, and Amendments as appropriate
Ensure alignment of Firm Associated Person rosters and FINRA Gateway
roster
Assist with My Compliance Office (BD Disclosure System) administrative
tasks
Participate in developing and implementing process improvements to
increase quality and scalability of Licensing & Registration functions
Responsible for ordering examination materials and responding to
examination related questions
Develop and keep updated Registered and Associated Persons rosters
Develop and maintain Standard Operating Procedure documentation
Maintain internal resources for reference by Registered and Associated
Persons
Partner with Robinhood's People Team for new hire onboarding, including
fingerprinting coordination, background check review, and following up on
and obtaining information for disclosure requests by regulators.
Responding to questions and providing support for Associated Persons in
the licensing and registration area.
Provide overall support on special projects as designated by the
Compliance Manager, or other senior leaders
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.
What you bring
Bachelor's Degree in a related field
General understanding of licensing and registration rules and requirements
2+ years working in compliance, customer experience, or related function
Familiarity with Consumer Financial Products/Services and general
understanding of Robinhood offerings
Motivation to be a self-starter with ability to work independently
Strong documentation, organizational, and team communication skills
Good written and verbal communication, analytical skills and strong
attention to detail
High emotional intelligence
Ability to work through ambiguity by taking responsibility, prioritizing,
and meeting deadlines
Accurate and timely processing of daily work
Bonus points:
Passion for working and learning in a fast-growing company
Broker-dealer compliance experience
Strong understanding of brokerage, licensing, registration and compliance
functions
Prior experience working with FINRA Web CRD and FINRA Gateway
FINRA Licensed (Series SIE, 7, 4, 24, etc.)
Experience working w/ large data sets (Looker, Excel, etc.)
What we offer
Market competitive and pay equity-focused compensation structure
100% paid health insurance for employees with 90% coverage for dependents
Annual lifestyle wallet for personal wellness, learning and development,
and more!
Lifetime maximum benefit for family forming and fertility benefits
Dedicated mental health support for employees and eligible dependents
Generous time away including company holidays, paid time off, sick time,
parental leave, and more!
Lively office environment with catered meals, fully stocked kitchens, and
geo-specific commuter benefits
The expected salary range for this role is based on the location where the
work will be performed and is aligned to one of 3 compensation zones. This
role is also eligible to participate in a Robinhood bonus plan.
US Zone 1: $27 per hour
US Zone 2: $27 per hour
US Zone 3: $26 per hour
Base pay for the successful applicant will depend on a variety of job-related
factors, which may include education, training, experience, location, business
needs, or market demands. You can view comp zones for our US office locations
in the table below. For other locations not listed, compensation can be
discussed with your recruiter during the interview process.
Office locations (by comp zone)
US Zone 1: Menlo Park, NYC, Seattle, Washington DC
US Zone 2: Denver, Westlake (Dallas), Chicago
US Zone 3: Lake Mary
Click here to learn more about Robinhood's Benefits.
Robinhood promotes diversity and provides equal opportunity for all applicants
and employees. We are dedicated to building a company that represents a
variety of backgrounds, perspectives, and skills. We believe that the more
inclusive we are, the better our work (and work environment) will be for
everyone. Additionally, Robinhood provides reasonable accommodations for
candidates on request and respects applicants' privacy rights. To review
Robinhood's Privacy Policy please visit Robinhood - US Applicant Privacy
Policy. If you are an applicant located in the UK or EEA, please visit the
Robinhood - UK/EEA Applicant Privacy Policy.
