Registration and Onboarding Associate

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