Regulatory Reporting & Compliance Associate: Data-Driven

Robinhood Markets, Inc.; Bellevue (WA); Presencial; USD 74.000 - 87.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health insurance

Equity opportunities

401(k) matching

Descripción de la vacante

Robinhood is hiring a Regulatory Reporting Compliance Associate to manage complaints reviews for regulatory filings and FINRA reporting. The role collaborates with technology, audit, and training teams to strengthen procedures and reduce risk.

You will own filing decisions, build data-driven metrics, and prepare regulator-ready reports across multiple offices (Chicago, Denver, Lake Mary). Face-to-face collaboration is expected at least 3 days weekly.

Formación

• 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.

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 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

Conocimientos

Analytical skills

Attention to detail

Communication skills

Independent work

Multitasking in fast-paced environment

Data-driven decision making

Industry knowledge: brokerage

Educación

FINRA Series 7 license

Descripción del empleo

Robinhood is hiring a Regulatory Reporting Compliance Associate to manage complaints reviews for regulatory filings and FINRA reporting. The role collaborates with technology, audit, and training teams to strengthen procedures and reduce risk.

You will own filing decisions, build data-driven metrics, and prepare regulator-ready reports across multiple offices (Chicago, Denver, Lake Mary). Face-to-face collaboration is expected at least 3 days weekly.