Regulatory Onboarding & Licensing Specialist

Neobankbeat; Chicago, Denver, New York (IL, CO, NY); Hybrid; USD 82,000 - 97,000; Full time

Benefits offered by this job

100% paid health insurance for员工 and %

Equity ownership

401(k) matching

AI tools access

Paid time off and holidays

Parental leave

Job summary

Robinhood is seeking a Compliance Licensing Registration Associate to support the onboarding and regulatory filing needs for FINRA Members across multiple offices, including Chicago. You will file and maintain AP documentation, coordinate background checks, and contribute to scalable processes with a focus on ethics and accuracy.

The role emphasizes in-person collaboration at least 3 days per week and a high standard of integrity, with opportunity for growth in a fast-paced, ambitious team.

Qualifications

• Bachelor’s degree in a related field is required.
• Minimum 5+ years in Compliance or Licensing Registration within Brokerage.
• Strong knowledge of FINRA Registration Rules and related processes.

Responsibilities

• Support regulatory filing needs for FINRA Members (BD/BR forms).
• File U-4, U-5, NRF and amendments, and maintain AP files.
• Assist with MyComplianceOffice tasks and onboarding requirements.
• Lead process improvements to scale examinations and registration.
• Coordinate fingerprinting and background checks with People Team.
• Maintain SOPs and internal resources for APs.
• Review Outside Business Activities for policy alignment.

Skills

Written and verbal communication

Analytical skills

Attention to detail

Self-motivated

AI tooling awareness

Education

Bachelor’s Degree in a related field

Tools

FINRA CRD / Gateway

Job description

Robinhood is seeking a Compliance Licensing Registration Associate to support the onboarding and regulatory filing needs for FINRA Members across multiple offices, including Chicago. You will file and maintain AP documentation, coordinate background checks, and contribute to scalable processes with a focus on ethics and accuracy.

The role emphasizes in-person collaboration at least 3 days per week and a high standard of integrity, with opportunity for growth in a fast-paced, ambitious team.