Compliance & Regulatory Reporting Associate

Robinhood; Chicago, Denver (IL, CO, FL); Hybrid; USD 65,000 - 77,000; Full time

Benefits offered by this job

Health insurance

401(k) matching

Equity ownership

Bonus programs

Job summary

Robinhood Regulatory Reporting Compliance Associate role in Chicago, IL; Denver, CO; Lake Mary, FL requires in-person attendance at least 3 days per week. The team handles complaints, determines regulatory filings, and reports findings to regulators and leadership.

You review complaints, coordinate data collection, run QA checks, and prepare regulatory disclosures and quarterly FINRA reports. Strong analytical skills and FINRA Series 7 licensure are essential.

Qualifications

• 1+ years of experience in a compliance role.
• General understanding of brokerage operations and compliance functions.
• Active FINRA licensure (Series 7) and familiarity with FINRA Rule 4530.
• Strong analytical skills and attention to detail.

Responsibilities

• Own the complaints review process and determine which complaints require a regulatory filing
• Serve as a subject matter expert, giving direction and training to contractor team
• Perform quality assurance reviews of customer complaint cases
• Prepare and file Rule 4530(a)(1)(B) 30-day disclosures
• Prepare and submit the quarterly FINRA Rule 4530(d) report
• Build controls, provide metrics, and analyze complaint data trends
• Draft and refine Standard Operating Procedures, and map process workflows
• Prepare quarterly metrics for senior management

Skills

Compliance experience

Data analysis

Independent working

Communication skills

Multi-tasking

Job description

Robinhood Regulatory Reporting Compliance Associate role in Chicago, IL; Denver, CO; Lake Mary, FL requires in-person attendance at least 3 days per week. The team handles complaints, determines regulatory filings, and reports findings to regulators and leadership.

You review complaints, coordinate data collection, run QA checks, and prepare regulatory disclosures and quarterly FINRA reports. Strong analytical skills and FINRA Series 7 licensure are essential.