Regulatory Reporting Compliance Associate

Robinhood; Chicago, Denver (IL, CO, FL); Híbrido; USD 65.000 - 77.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health insurance

401(k) matching

Equity ownership

Bonus programs

Descripción de la vacante

Robinhood Regulatory Reporting Compliance Associate role in Chicago, IL; Denver, CO; Lake Mary, FL requires in-person attendance at least 3 days per week. The team handles complaints, determines regulatory filings, and reports findings to regulators and leadership.

You review complaints, coordinate data collection, run QA checks, and prepare regulatory disclosures and quarterly FINRA reports. Strong analytical skills and FINRA Series 7 licensure are essential.

Formación

• 1+ years of experience in a compliance role.
• General understanding of brokerage operations and compliance functions.
• Active FINRA licensure (Series 7) and familiarity with FINRA Rule 4530.
• Strong analytical skills and attention to detail.

Responsabilidades

• Own the complaints review process and determine which complaints require a regulatory filing
• Serve as a subject matter expert, giving direction and training to contractor team
• Perform quality assurance reviews of customer complaint cases
• Prepare and file Rule 4530(a)(1)(B) 30-day disclosures
• Prepare and submit the quarterly FINRA Rule 4530(d) report
• Build controls, provide metrics, and analyze complaint data trends
• Draft and refine Standard Operating Procedures, and map process workflows
• Prepare quarterly metrics for senior management

Conocimientos

Compliance experience

Data analysis

Independent working

Communication skills

Multi-tasking

Descripción del empleo

Regulatory Reporting Compliance Associate

Chicago, IL; Denver, CO; Lake Mary, FL

Join us in building the future of finance.

Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.

About the team + role

We are building an elite team, applying frontier technologies to the world's biggest financial problems. We're looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn't a place for complacency, it's where ambitious people do the best work of their careers. We're a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards.

The Regulatory Reporting team is part of Compliance and helps Robinhood meet its obligations under Firm policy, SEC rules, and FINRA regulations. We review customer complaints from many channels, decide which ones require regulatory filings, and report on what we find. We work closely with the Customer Experience team to spot complaints early and strengthen our written supervisory and standard operating procedures. We also support partners in technology, audit, fraud, and training with ad hoc requests. Joining us means getting a front-row view of how a fast-growing brokerage manages regulatory risk!

As a Compliance Associate, you'll review complaints in depth to decide whether a filing is required under FINRA Rules 4530, 4513, and 2360(b)(17). You'll coordinate how complaints are collected, ingested, and reviewed, run quality assurance checks, and escalate high-risk cases. You'll also prepare complaint reports for regulators and senior leadership. Your analysis will show where complaint trends are coming from and help the team improve its processes before issues grow. You'll turn what you learn into clear metrics and recommendations that leaders can act on!

This role is based in our Chicago, IL, Denver, CO and Lake Mary, FL offices, with in-person attendance expected at least 3 days per week.

At Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.

What you’ll do

• Own the complaints review process and determine which complaints require a regulatory filing
• Serve as a subject matter expert, giving direction and training to our contractor team
• Perform quality assurance reviews of customer complaint cases
• Prepare and file Rule 4530(a)(1)(B) 30-day disclosures
• Prepare and submit the quarterly FINRA Rule 4530(d) report
• Build controls, provide metrics, and analyze complaint data trends
• Use what you learn to help other teams anticipate customer needs before regulatory issues arise
• Help train team members and troubleshoot the current complaint review workflow
• Draft and refine Standard Operating Procedures, and map process workflows
• Prepare quarterly metrics for senior management
• Support teammates with their responsibilities as needed

What you bring

• 1+ years of experience in a compliance role
• General understanding of brokerage operations and compliance functions
• Curiosity and skill in finding answers, and in identifying trends and drivers through data and metrics
• Ability to work independently and take initiative
• Clear written and verbal communication, strong analytical skills, and close attention to detail
• Proven ability to manage multiple tasks and set priorities in a fast-paced environment
• Operations experience in Compliance or a related function in financial services
• Enthusiasm for learning in a fast-growing company
• Active FINRA licensure (Series 7)
• Experience with FINRA Rule 4530

What we offer

• Challenging, high-impact work to grow your career
• Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
• Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
• Access to the Robinhood Employee Fund that gives eligible US employees the opportunity to invest in a private employee fund that provides exposure to Robinhood Ventures funds.
• Access to the best AI tools on the market and continuous AI skill-building for every employee, technical or not.
• Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
• Exceptional office experience with catered meals, events, and comfortable workspaces.

In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Base Pay Range:

Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)

$74,000 - $87,000 USD

Zone 2 (Denver, CO; Westlake, TX; Chicago, IL)

$65,000 - $77,000 USD

Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)

$58,000 - $68,000 USD

Click here to learn more about our Total Rewards, which vary by region and entity.

If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.

AI Usage Disclosure: Robinhood uses artificial intelligence (AI) tools to support parts of our recruiting process. These tools enhance the efficiency and consistency of our hiring process; however, all hiring decisions are made by our hiring teams.

Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.

Equal Employment Opportunity Information

At Robinhood, we care deeply about diverse representation in our workforce as it supports our mission to democratize finance for all. In support of this goal, we encourage applicants to voluntarily identify demographic information. This information helps us to continue building a more inclusive workplace and to ensure effective recruiting programs that are inclusive of individuals across all backgrounds.

Self-identifying in this section is completely voluntary and if you choose not to provide any information, please select the “I don\'t wish to answer” option under that question. Whatever your decision, data that you provide in this section will not be considered in the hiring process or thereafter. Individuals seeking employment at Robinhood are considered without regard to race, color, religion, national origin, age, sex, sexual orientation, marital status, ancestry, physical or mental disability, neurodivergence, veteran status, gender identity or expression, or any other characteristic protected by law.

You are being given the opportunity to provide the following information in order to help us comply with federal and state Equal Employment Opportunity recordkeeping, reporting, and other legal requirements, and to be used in our efforts to recruit a diverse workforce. Any information that you do provide will be recorded and maintained in a confidential manner. For more information on EEOC definitions, please reference this document .

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The application deadline for this role is December 20, 2026