Regulatory Onboarding Specialist (Licensing & Compliance)

Robinhood; Florida; Hybrid; USD 73,000 - 86,000; Full time

Benefits offered by this job

Health insurance

Equity ownership

401(k) matching

AI tools access

Parental leave

Job summary

Robinhood is seeking a Compliance Registration & Onboarding Associate to manage day-to-day registration, onboarding, and related tasks for FINRA entities. You will support onboarding of broker/dealer registrants, maintain licensing records, and collaborate with the People Team on background checks and disclosures.

The role requires 5+ years in Compliance/Licensing with strong FINRA knowledge, excellent communication, and attention to detail.

Qualifications

• Bachelor’s degree in a related field.
• 5+ years in Compliance, Licensing & Registration, or related Brokerage function.
• Strong working knowledge of FINRA CRD / Gateway.
• Proactive, self-starter with ability to work independently.
• Excellent written and verbal communication, analytical skills, and attention to detail.
• High EQ and willingness to learn new skills, tools, and AI tools in role.
• Solid understanding of FINRA Registration and Rules (1000 - 3000).

Responsibilities

• Support regulatory filing needs for FINRA Members (Form BD, Form BR, etc.).
• File Form U-4, U-5, and amendments.
• File NRF and NRF amendments.
• Maintain AP files per SEC Rule 17a-3(a)(12).
• Assist with MyComplianceOffice tasks for AP requirements.
• Contribute to process improvements for quality and scalability of exams and registrations.
• Coordinate fingerprinting and background checks with People Team for new hires.
• Lead special projects as assigned.
• Maintain SOP documentation and internal resources for Registered/Associated Persons.
• Respond to licensing questions and support for Associated Persons.

Skills

FINRA CRD / Gateway

Regulatory filings

Strong communication

Attention to detail

AI utilization

Education

Bachelor’s degree in a related field

Tools

FINRA CRD / Gateway

Job description

Robinhood is seeking a Compliance Registration & Onboarding Associate to manage day-to-day registration, onboarding, and related tasks for FINRA entities. You will support onboarding of broker/dealer registrants, maintain licensing records, and collaborate with the People Team on background checks and disclosures.

The role requires 5+ years in Compliance/Licensing with strong FINRA knowledge, excellent communication, and attention to detail.