Registration and Onboarding Specialist

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 Compliance Licensing & Registration Team (“L&R”) supports the US regulated entities under Robinhood Markets, primarily focused on FINRA Members. Support includes licensing & registration for regulated entities and individuals working for them. FINRA Members of Robinhood Markets include Robinhood Financial (“RHF”), Robinhood Securities (“RHS”) and TradePMR (“TPMR”). L&R is responsible for supporting both the firm and individuals. These responsibilities include onboarding new broker/dealer registrants and Associated Persons, filing disclosures, reporting, and providing guidance.

The Compliance Registration and Onboarding Associate will be responsible for conducting the day-to-day process of Robinhood’s registration, onboarding, and general processing of related tasks. The Associate will be responsible for assisting with the adherence, maintenance, and updates of Licensing & Registration processes.

This role is based in our Denver, CO, Chicago, IL, New York, NY, or Lake Mary, FL office(s), with in-person attendance expected at least 3 days per week.

What you’ll do

• 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 employee files for compliance w/ SEC Rule 17a-3(a)(12)
• Assist with MyComplianceOffice tasks relating to Associated Persons requirements
• Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process
• Maintain registered and Associated Persons documentation
• Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review, including following up on and obtaining information for disclosure requests by regulators.
• Lead special projects as designated
• Responsible for ordering examination materials and responding to examination related questions
• Maintain Standard Operating Procedure documentation
• Maintain internal resources for reference by Registered and Associated Persons
• Responding to questions and providing support for Associated Persons in the licensing and registration area.
• Review Outside Business Activities, Private Securities Transactions, Gifts & Entertainment, and Professional Designations for alignment with Policies
• Assist in tasks related to FINRA Rule 1240 Continuing Education
• Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite.
• Provide support for broker feed offering and processes for delivering data

What you bring

• Bachelor’s Degree in a related field
• 5+ years working 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 seek out knowledge
• Focused on utilizing AI to increase impact in role
• Strong understanding of FINRA Registration and Rules (1000 - 3000)

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.