Brokerage Compliance Operations Associate

<div class="content-intro"><h2>Join us in building the future of finance.</h2> <p>Our mission is to democratize finance for all. <a href="https://www.cerulli.com/press-releases/cerulli-anticipates-124-trillion-in-wealth-will-transfer-through-2048" target="_blank">An estimated $124 trillion of assets</a> 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.</p></div><p>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.&nbsp;</p> <p>The Compliance Licensing &amp; Registration team supports the FINRA Member entities under Robinhood Markets regarding firm and individual licensing &amp; 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.</p> <p>The <strong>Compliance Registration and Onboarding Associate </strong>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 &amp; Registration processes.</p> <p><strong>This role is based in our Denver, CO, Westlake, TX, or Lake Mary, FL office(s), with in-person attendance expected at least 3 days per week.&nbsp;</strong></p> <p>This position reports into our Compliance Registration and Onboarding Manager and is located in our Westlake, TX office.</p> <p>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 &amp; 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.</p> <h2><strong>What you’ll do</strong></h2> <ul> <li>Support the regulatory filing needs of FINRA Members</li> <li>Filing Form U-4, Form U-5, and Amendments as appropriate</li> <li>Filing Form NRF and NRF Amendments as appropriate</li> <li>Collect and ensure documentation is retained for Associated Person employee files for compliance w/ SEC Rule 17a-3(a)(12)</li> <li>Assist with MyComplianceOffice tasks relating to Associated Persons requirements</li> <li>Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process</li> <li>Maintain registered and associated persons documentation</li> <li>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.</li> <li>Responding to questions and providing support for Associated Persons</li> <li>Provide overall support on special projects as designated&nbsp;</li> <li>Responsible for ordering examination materials and responding to examination related questions</li> <li>Maintain Standard Operating Procedure documentation</li> <li>Maintain internal resources for reference by Registered and Associated Persons</li> <li>Responding to questions and providing support for Associated Persons in the licensing and registration area.&nbsp;</li> <li>Assist in tasks related to FINRA Rule 1240 and documentation</li> <li>Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite.</li> <li>Provide support to broker feed team for onboarding and maintenance of tool</li> </ul> <h2><strong>What you bring</strong></h2> <ul> <li>Bachelor’s Degree in a related field</li> <li>2+ years working in Compliance, Customer Experience, or related Brokerage function</li> <li>Motivation to be a self-starter with ability to work independently</li> <li>Good written and verbal communication, analytical skills and strong attention to detail</li> <li>High emotional intelligence (EQ)</li> <li>Driven to learn new skills, tools, and seek out knowledge</li> <li>Focused on utilizing AI to increase impact in role</li> </ul> <h2><strong>Bonus points:</strong></h2> <ul> <li>Passion for working and learning in a fast-growing company</li> <li>Strong understanding of FINRA Registration and Rules</li> <li>FINRA Licensing</li> <li>Superset Proficiency</li> <li>Familiarity with FINRA CRD</li> </ul> <h2><strong>What we offer</strong></h2> <ul> <li>Challenging, high-impact work to grow your career.</li> <li>Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.</li> <li>Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.</li> <li>Lifestyle wallet — a highly flexible benefits spending account for wellness, learning, and more.</li> <li>Employer-paid life &amp; disability insurance, fertility benefits, and mental health benefits.</li> <li>Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!</li> <li>Exceptional office experience with catered meals, events, and comfortable workspaces.</li> </ul> <p>We’re looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you’re ready to give 100% in helping us achieve our mission—we’d love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.</p> <p>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 <a href="http://rbnhd.co/applicant-privacy">rbnhd.co/applicant-privacy</a></p> <p>&nbsp;</p><div class="content-pay-transparency"><div class="pay-input"><div class="description"><p><strong>In addition to the base pay range listed below, this role is also eligible for bonus opportunities + benefits.</strong></p> <p>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. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.</p> <p><span style="text-decoration: underline;">Base Pay Range:</span></p></div><div class="title">Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)</div><div class="pay-range"><span>$31</span><span class="divider">&mdash;</span><span>$37 USD</span></div></div><div class="pay-input"><div class="title">Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)</div><div class="pay-range"><span>$28</span><span class="divider">&mdash;</span><span>$33 USD</span></div></div><div class="pay-input"><div class="title">Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)</div><div class="pay-range"><span>$27</span><span class="divider">&mdash;</span><span>$32 USD</span></div></div></div><div class="content-conclusion"><p>Click <a href="https://careers.robinhood.com/benefits" target="_blank">here</a> to learn more about our Total Rewards, which vary by region and entity.</p> <p>If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.</p> <p>Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the&nbsp;<a href="https://careers.robinhood.com/applicantprivacypolicy" target="_blank">Privacy Policy</a> for your country of application.</p></div>