Compliance Associate, Registration and Onboarding

Job Description

About the company

Robinhood is democratizing our financial system. With customers at the heart of our decisions, Robinhood is lowering barriers, removing fees, and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

Robinhood is a fast-growing company and was recognized as a CNBC Disruptor 50 and a LinkedIn Top Startup in 2019. We’re continuing to grow and are looking for incredible talent that can help us achieve our mission.

Robinhood is headquartered in Menlo Park, California, with offices in Lake Mary, Florida, and London, UK.

About the role

The Compliance Registration and Onboarding Associate will be responsible for conducting the day-to-day process of Robinhood’s registration, onboarding and examination compliance program. In addition to these functions, oversight will include the review of internal communications and providing advice to our customer support team regarding account restrictions and customer response. The successful candidate will be responsible for assisting with the development and design of departmental processes and guidelines.

This position reports into our Policies & Internal Controls Senior Manager and is located in our Denver, CO office.

Your day-to-day will involve:

• Oversee and run day-to-day process for initial examination, registration and onboarding
• Filing U-4 and U-5 registrations as appropriate
• Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process, including selection of study materials and responding to examination and registration related questions
• Develop and keep updated registered persons lists
• Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review
• Provide overall support on special projects as designated by the Chief Compliance Officer and the Policies & Internal Controls Senior Manager

Some things we consider critical for this role:

• Bachelor’s Degree in a related field
• 1+ years working in compliance, customer experience, or related function
• Familiarity with KYC (Know Your Customer) and Consumer Financial Products/Services
• 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

Bonus points:

• Passion for working and learning in a fast-growing company
• Broker-dealer compliance experience
• Strong understanding of brokerage, registration and compliance functions
• Familiarity with FINRA WEB CRD

Feeling ready to give 100% to democratizing our financial system? We’d love to have you apply, even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we’re looking for people invigorated by our mission, not just those who simply check off all the boxes.