Registration and Onboarding Specialist
Description
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. 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.
At Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.
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.
In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.
Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.
Base Pay Range:
Click here to learn more about our Total Rewards, which vary by region and entity.
If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.
AI Usage Disclosure: Robinhood uses artificial intelligence (AI) tools to support parts of our recruiting process. These tools enhance the efficiency and consistency of our hiring process; however, all hiring decisions are made by our hiring teams.
Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.
Skills
As published by greenhouse · 15 questions
Basics
First Name, Last Name, Email, Phone, Resume/CV, Cover Letter, Location
Short answers (8)
- LinkedIn Profile optional
- Website optional
- How did you hear about this job? optional
- As a condition of employment we will require: 1) Your U5 from your prior employer. 2) The ability to be licensed in all 53 states and jurisdictions. 3) Passing a background check, credit check, and fingerprinting. Based on this, would anything of concern be reported by your former/current employer (e.g., U5 disclosures, involuntary terminations of any kind, including policy violations, failure to obtain licenses, performance-related, etc), or arise in your background check, credit check, or fingerprinting? If yes, please provide context below. optional
- Do you currently hold any active FINRA licenses? If so, which ones? *
- What is your individual CRD number? optional
- If you answered "Yes" to the above question, please provide additional information here: optional
- If you answered "Yes" to the above question, please provide additional information here: optional
Pick from a list (7)
- Have you used Robinhood? optional
- Have you ever worked for Robinhood as an employee, intern or contractor? Note that providing false or misleading information may result in disqualification from the hiring process.
- Are you legally work authorized to work in the US?
- Will you now (or in the future) require visa sponsorship in order to work in the US?
- Are you willing to work from the office(s) listed on the job description?
- Do you have: a) any Personal/Familial Relationships (current Robinhood employees or employees of Robinhood’s vendors); b) any Outside Business Activities that you wish to continue; c) any investment that is greater than 5% of the outstanding shares of a publicly-traded company; d) any investment in a private company that has a business relationship or that is a current competitor of Robinhood; or e) any Intellectual Property Ownership (patents, trademarks, copyrights) that you wish to retain and/or create/develop while at Robinhood?
- Robinhood adheres to applicable laws and regulations in relation to government officials given inherent bribery and/or corruption risk. A government official is any person that performs a public function on any level or acts in any official capacity on behalf of a government or government owned entity. a) Do you currently hold or have you held, within the last 5 years, a position as a government official? b) Have you been referred or recommended for this position by a government official? c) Are you related to or have a close personal relationship with a government official?