Brokerage Compliance Operations Associate

Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.

We are building an elite team, applying frontier technologies to the world’s biggest financial problems. We’re looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn’t a place for complacency, it’s where ambitious people do the best work of their careers. We’re a high-performing, fast-moving team with ethics at the center of everything we do. 

The Compliance Licensing & Registration team supports the FINRA Member entities under Robinhood Markets regarding firm and individual licensing & registration. The team is responsible for onboarding new registered representatives and associated persons, helping with disclosures and reporting for individuals, 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 adherence, maintenance, and updates of Licensing & Registration processes.

This position reports into our Compliance Registration and Onboarding Manager and is located in our Westlake, TX office.

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.

• →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

• 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

• 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