Compliance Registration & Onboarding Pro

Robinhood Markets, Inc.; Chicago, Denver, New York (IL, CO, NY); Presencial; USD 82.000 - 97.000; Tempo integral

Benefícios oferecidos por esta vaga

Health insurance (100% paid for you)

Equity ownership and 401(k) matching

AI tools access and AI skill-building

Lifestyle wallet

Resumo da vaga

Robinhood Markets, Inc. is seeking a Compliance Licensing & Registration Associate to manage day-to-day registration, onboarding, and related tasks for FINRA Members.

You’ll support onboarding, fingerprinting, background checks, and document retention while driving process improvements to increase quality and scalability. You’ll collaborate with the People Team on new hire onboarding and regulatory requests, participate in special projects, and ensure policies align with FINRA rules.

Qualificações

• Bachelor’s degree in a related field required.
• 5+ years in Compliance, Licensing & Registration, or related Brokerage function.
• Strong working knowledge of FINRA CRD / Gateway.
• Ability to work independently and self-motivate.
• Excellent written and verbal communication; high attention to detail.
• High emotional intelligence and willingness to learn new tools and skills.
• Familiarity with FINRA Registration and Rules (1000 - 3000).

Responsabilidades

• Support regulatory filing needs for FINRA Members (Form BD, Form BR, etc.).
• File Form U-4, Form U-5, and Amendments.
• File NRF and NRF Amendments.
• Retain documentation for Associated Person files per SEC Rule 17a-3(a)(12).
• Assist with MyComplianceOffice tasks for Associated Persons.
• Develop and implement process improvements to improve quality and scalability.
• Maintain documentation for registered and Associated Persons.
• Collaborate with People Team on onboarding, fingerprinting, and background checks.
• Lead special projects as designated.
• Order examination materials and respond to examination questions.
• Maintain internal resources for reference by Registered and Associated Persons.
• Review Outside Business Activities and Private Securities Transactions for policy alignment.
• Assist with FINRA Rule 1240 Continuing Education tasks.
• Promote ethics, risk culture, and adherence to policy.

Conhecimentos

FINRA CRD / Gateway knowledge

Regulatory compliance

Attention to detail

Written and verbal communication

Self-starter

EQ (emotional intelligence)

AI tools usage

FINRA Rules knowledge (1000-3000)

Formação

Bachelor’s Degree in a related field

Ferramentas

None

Descrição da vaga

Robinhood Markets, Inc. is seeking a Compliance Licensing & Registration Associate to manage day-to-day registration, onboarding, and related tasks for FINRA Members.

You’ll support onboarding, fingerprinting, background checks, and document retention while driving process improvements to increase quality and scalability. You’ll collaborate with the People Team on new hire onboarding and regulatory requests, participate in special projects, and ensure policies align with FINRA rules.