Hybrid Onboarding & Licensing Specialist (In-Office 3 days)

Robinhood Markets, Inc.; Bellevue (WA); Híbrido; USD 73.000 - 110.000; Tempo integral

Benefícios oferecidos por esta vaga

100% paid health insurance for员工

Equity ownership

401(k) matching

AI tools access

Flexible benefits spending account

Resumo da vaga

Robinhood Markets, Inc. is seeking a Compliance Licensing & Registration Associate to manage day-to-day registration, onboarding, and processing tasks for FINRA members and associated persons. The role supports adherence, maintenance, and updates of licensing processes across multiple US offices.

You will collaborate with the People Team on onboarding, fingerprinting, and background checks, while driving process improvements, compliance accuracy, and timely filings in a fast-paced environment.

Qualificações

• Minimum 5+ years in Compliance, Licensing & Registration or related Brokerage function.
• Strong working knowledge of FINRA CRD / Gateway.
• Ability to work independently and communicate clearly.

Responsabilidades

• Support the regulatory filing needs of FINRA Members (Form BD, Form BR, etc.).
• Filing Form U-4, Form U-5, and Amendments.
• Filing Form NRF and NRF Amendments.
• Collect and ensure documentation is retained for Associated Person employee files for compliance with SEC Rule 17a-3(a)(12).
• Assist with MyComplianceOffice tasks relating to Associated Persons requirements.
• Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process.
• Maintain registered and Associated Persons documentation.
• Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review, including following up on and obtaining information for disclosure requests by regulators.
• Lead special projects as designated.
• Responsible for ordering examination materials and responding to examination related questions.
• Maintain internal resources for reference by Registered and Associated Persons.
• Responding to questions and providing support for Associated Persons in the licensing and registration area.
• Review Outside Business Activities, Private Securities Transactions, Gifts & Entertainment, and Professional Designations for alignment with Policies.
• Assist in tasks related to FINRA Rule 1240 Continuing Education.
• Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite.
• Provide support for broker feed offering and processes for delivering data.

Conhecimentos

FINRA CRD / Gateway

Self-starter

Communication

Attention to detail

EQ

AI tools usage

Formação

Bachelor’s Degree in a related field

Ferramentas

MyComplianceOffice

Descrição da vaga

Robinhood Markets, Inc. is seeking a Compliance Licensing & Registration Associate to manage day-to-day registration, onboarding, and processing tasks for FINRA members and associated persons. The role supports adherence, maintenance, and updates of licensing processes across multiple US offices.

You will collaborate with the People Team on onboarding, fingerprinting, and background checks, while driving process improvements, compliance accuracy, and timely filings in a fast-paced environment.