At a Glance
- Tasks: Review customer complaints and determine regulatory filing requirements while improving processes.
- Company: Join Robinhood, a leader in democratizing finance with a dynamic team culture.
- Benefits: Competitive salary, 100% paid health insurance, equity ownership, and flexible wellness spending.
- Other info: Fast-paced environment with exceptional career growth and a vibrant office experience.
- Why this job: Be at the forefront of financial innovation and make a real impact on compliance.
- Qualifications: Bachelor’s degree and 1+ years in compliance; strong analytical and communication skills.
The predicted salary is between 63900 - 78100 $ per year.
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, and 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 will:
- 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:
- Bachelor’s degree.
- 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.
- Strong partnership skills.
- Proven ability to manage multiple tasks and set priorities in a fast-paced environment.
Bonus points:
- 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.
If our mission energizes you and you're ready to build the future of finance, we look forward to seeing your application.
Regulatory Reporting Compliance Associate in Quinte West employer: Robinhood
At Robinhood, we are committed to fostering a dynamic and inclusive work environment where innovation thrives. As a Knowledge & Operational Readiness Lead in our Denver, CO or Westlake, TX office, you will enjoy a performance-driven culture that rewards bold thinkers with competitive compensation, comprehensive benefits, and ample opportunities for professional growth. Our intentional office experience, designed to support high-performing teams, ensures that you can collaborate effectively while making a meaningful impact in the evolving landscape of finance.
