Regulatory Onboarding Specialist

Robinhood; Chicago (IL); Híbrido; USD 82.000 - 97.000; Tempo integral

Benefícios oferecidos por esta vaga

100% paid health insurance

Equity ownership

401(k) matching

AI tools access

Resumo da vaga

Robinhood is building an elite Compliance Licensing & Registration team to manage onboarding, filings, and ongoing registration tasks for FINRA Members across RHF, RHS, and TPMR. The role coordinates with the People Team for onboarding, fingerprinting, and disclosures, with in-person attendance at least 3 days per week.

You will drive process improvements, maintain documentation, and ensure regulatory adherence across Form BD/U-4/U-5, NRF filings, and related tasks while upholding high ethical

Qualificações

• Bachelor’s degree in a related field.
• 5+ years in Compliance or Licensing.
• Strong knowledge of FINRA CRD / Gateway.
• Able to work independently with high attention to detail.
• Willingness to use AI tools to improve impact.
• Knowledge 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 ensure documentation is retained for Associated Person files for compliance with 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 processes.

Conhecimentos

FINRA CRD / Gateway

Attention to detail

Emotional intelligence

Independent worker

Formação

Bachelor’s Degree

Descrição da vaga

Robinhood is building an elite Compliance Licensing & Registration team to manage onboarding, filings, and ongoing registration tasks for FINRA Members across RHF, RHS, and TPMR. The role coordinates with the People Team for onboarding, fingerprinting, and disclosures, with in-person attendance at least 3 days per week.

You will drive process improvements, maintain documentation, and ensure regulatory adherence across Form BD/U-4/U-5, NRF filings, and related tasks while upholding high ethical