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Brokerage Compliance Operations Associate

robinhood· 155 open roles

Location TBD On-siteFull-time1 weeks ago
Salaryest.
$60,000 - $90,000
Experience
Mid
Job Type
Full-time
Posted
1 weeks ago
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About This RoleAI processing…

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.

Key Responsibilities

  • 1
    Support the regulatory filing needs of FINRA Members
  • 2
    Filing Form U-4, Form U-5, and Amendments as appropriate
  • 3
    Filing Form NRF and NRF Amendments as appropriate
  • 4
    Collect and ensure documentation is retained for Associated Person employee files for compliance w/ SEC Rule 17a-3(a)(12)
  • 5
    Assist with MyComplianceOffice tasks relating to Associated Persons requirements
  • 6
    Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process
  • 7
    Maintain registered and associated persons documentation
  • 8
    Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review and following up on and obtaining information for disclosure requests by regulators.
  • 9
    Responding to questions and providing support for Associated Persons
  • 10
    Provide overall support on special projects as designated
  • 11
    Responsible for ordering examination materials and responding to examination related questions
  • 12
    Maintain Standard Operating Procedure documentation
  • 13
    Maintain internal resources for reference by Registered and Associated Persons
  • 14
    Responding to questions and providing support for Associated Persons in the licensing and registration area.
  • 15
    Assist in tasks related to FINRA Rule 1240 and documentation
  • 16
    Fostering and contributing to a culture of high ethical standards and integrity and promoting the core values, risk culture and risk appetite.
  • 17
    Provide support to broker feed team for onboarding and maintenance of tool

Requirements

  • Bachelor’s Degree in a related field
  • 2+ years working in Compliance, Customer Experience, or related Brokerage function
  • Motivation to be 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

Perks & Benefits

Challenging, high-impact work to grow your career.
Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching.
Best-in-class benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents.
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.

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