About the company
Robinhood is democratizing our financial system. We offer commission-free* investing and trading. Investing in stocks, ETFs and options is offered through Robinhood Financial LLC. Cryptocurrency* trading is offered through Robinhood Crypto, LLC. Robinhood Financial, our broker-dealer, is a fast-growing brokerage firm with millions of users and billions of dollars in transaction volume. Robinhood* is based in Menlo Park, California, Lake Mary, Florida and London, UK.
*Relevant SEC and FINRA or other fees may still apply. Please see Robinhood’s Fee Schedule at https://about.Robinhood.com/legal. Robinhood Crypto is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not protected by either FDIC or SIPC insurance. Robinhood means Robinhood Markets, Inc. and its subsidiaries, including Robinhood Financial LLC (member SIPC), Robinhood Crypto, LLC, and Robinhood International, Ltd.
About the role
The compliance registration and on-boarding associate will be responsible for conducting the day-to-day process of Robinhood’s registration, on-boarding and examination compliance program. In addition to these functions, oversight will include: review of internal communications and providing advice to our customer support team regarding account restrictions and customer response. Candidate will be responsible for helping to develop and design departmental processes and guidelines.
In this role you will:
- Oversee and run day-to-day process for initial examination, registration and onboarding
- File U-4 and U-5 registrations as appropriate
- Develop and implement process improvements to increase quality and scalability of examination and registration process. Including selection of study materials and responding to examination and registration related questions.
- Develop and keep updated registered persons lists.
- Partner with Robinhood’s people team for new hire onboarding, including fingerprinting coordination and background check review.
- Provide overall support on special projects as designated by the Chief Compliance Officer
Some things we consider critical for this role:
- Bachelor’s Degree or equivalent work experience
- 3+ years working in broker-dealer compliance
- Strong understanding of brokerage, registration and compliance functions
- Familiarity with FINRA WEB CRD
- Self-starter with ability to work independently
- Good communication and analytical skills
- High emotional intelligence
Note to Recruiters and Placement Agencies: Robinhood does not accept unsolicited agency resumes. Robinhood does not pay placement fees for candidates submitted by any agency other than its approved partners.