Regulatory Onboarding & Licensing Specialist

Robinhood; New York (NY); Híbrido; USD 94.000 - 110.000; Tempo integral

Benefícios oferecidos por esta vaga

Health insurance (100% employee)

401(k) matching

Equity and bonus programs

Paid time off and holidays

AI tooling access

Resumo da vaga

Robinhood is seeking a Compliance Registration & Onboarding Associate to manage day-to-day registration, onboarding, and related tasks for Robinhood’s regulated entities and associated persons. You will help ensure adherence to licensing processes and regulatory disclosures while collaborating with cross-functional teams.

You will support Form filings, onboarding coordination, and examination readiness, contributing to process improvements and maintaining documentation across FINRA rules and

Qualificações

• Bachelor’s Degree in a related field.
• 5+ years in Compliance, Licensing & Registration or related Brokerage function.
• Strong working knowledge of FINRA CRD / Gateway.
• Motivation as a self-starter with ability to work independently.
• Good written and verbal communication, analytical skills and strong attention to detail.
• High emotional intelligence (EQ).
• Driven to learn new skills, tools, and knowledge.
• Focused on utilizing AI to increase impact in role.
• Strong understanding of FINRA Registration and Rules (1000 - 3000).

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 retain documentation for Associated Person files per SEC Rule 17a-3(a)(12).
• Assist with MyComplianceOffice tasks relating to Associated Persons requirements.
• Develop and implement process improvements to increase quality and scalability of examination and registration.
• Maintain registered and Associated Persons documentation.
• Coordinate fingerprinting and background checks with People Team for onboarding.
• Lead special projects as designated.
• Order examination materials and respond to examination questions.
• Maintain SOP documentation and internal resources for reference.
• Respond to questions and support for Associated Persons in licensing/registration.
• Review Outside Business Activities, Private Securities Transactions, Gifts & Entertainment, and Professional Designations for policy alignment.
• Assist with FINRA Rule 1240 Continuing Education.
• Promote ethics and risk culture; support data delivery for broker feeds.
• Strong understanding of FINRA Registration and Rules (1000 - 3000).

Conhecimentos

Self-starter

Analytical skills

Attention to detail

Emotional intelligence

Independent worker

AI familiarity

Formação

Bachelor’s degree in a related field

Ferramentas

FINRA CRD / Gateway

Descrição da vaga

Robinhood is seeking a Compliance Registration & Onboarding Associate to manage day-to-day registration, onboarding, and related tasks for Robinhood’s regulated entities and associated persons. You will help ensure adherence to licensing processes and regulatory disclosures while collaborating with cross-functional teams.

You will support Form filings, onboarding coordination, and examination readiness, contributing to process improvements and maintaining documentation across FINRA rules and