Hybrid FinTech Licensing & Onboarding Specialist

Robinhood; Denver (CO); Presencial; USD 82.000 - 97.000; Tempo integral

Benefícios oferecidos por esta vaga

100% paid health insurance

Equity ownership

401(k) matching

AI tools access

Flexible benefits wallet

Resumo da vaga

Robinhood is hiring a Compliance Licensing & Registration Associate in Denver, CO, with in-person attendance at least 3 days a week. You will support FINRA filings, onboarding, and records management to ensure regulatory compliance for Robinhood’s broker/dealer entities.

This role requires 5+ years in brokerage compliance, strong FINRA knowledge, and a proactive, detail-focused mindset. Join a high-impact team delivering rigorous controls and ethical standards.

Qualificações

• Bachelor’s Degree related field required.
• 5+ years in Compliance, Licensing & Registration or brokerage.
• Strong FINRA CRD / Gateway knowledge.
• Self-starter able to work independently.
• Excellent written/verbal communication and attention to detail.
• High emotional intelligence (EQ).
• Eagerness to learn new skills and AI tools.
• Solid understanding of FINRA Registration and Rules (1000-3000).

Responsabilidades

• Support regulatory filing needs for FINRA Members (BD/BR, etc.).
• File Form U-4, U-5, and amendments as required.
• File NRF and NRF amendments.
• Maintain AP employee files for SEC Rule 17a-3(a)(12).
• Assist with MyComplianceOffice tasks for AP requirements.
• Help improve processes for quality and scalability in examinations.
• Maintain registered and Associated Persons documentation.
• Coordinate fingerprinting and background checks with People Team.
• Lead special projects and manage examination materials.

Conhecimentos

FINRA CRD / Gateway

Self-starter

Strong communication

Formação

Bachelor’s Degree in a related field

Descrição da vaga

Robinhood is hiring a Compliance Licensing & Registration Associate in Denver, CO, with in-person attendance at least 3 days a week. You will support FINRA filings, onboarding, and records management to ensure regulatory compliance for Robinhood’s broker/dealer entities.

This role requires 5+ years in brokerage compliance, strong FINRA knowledge, and a proactive, detail-focused mindset. Join a high-impact team delivering rigorous controls and ethical standards.