Regulatory Reporting Compliance Associate

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.

As a Compliance Associate on our Regulatory Reporting team, you’ll be responsible for expert-level review of complaints to determine FINRA filing applicability in accordance with FINRA Rule 4530, 4513 and 2360(b)(17). In this role, you will coordinate the collection, ingestion, and review of complaints from a variety of channels.

You will be tasked to perform quality assurance, including escalating high risk cases, identifying resolutions, and submitting various complaints reports to both regulators and senior management. The ideal candidate will be able to partner directly with the Robinhood Customer Experience team to assist in the identification of complaints and improve Robinhood’s processes, written supervisory procedures and standard operating procedures.

The candidate will further be tasked in partnering with other internal cross functional teams to deliver ad hoc items to others including technology, audit, fraud, and training teams. You will be asked to consolidate information to drive improvements, enhance procedures, and generate meaningful metrics for which to measure team and company performance. This position will provide insight into our multifaceted workflow while strategically managing resources to meet deadlines.

The ideal candidate will have strong data analysis skills to identify trends of complaints and to synthesize information in a compelling manner for our stakeholder consumption. The associate will support the team in assisting with the management of regulatory risk and monitoring customer behavior to ensure we meet our requirements under Firm policy, SEC rules, and FINRA regulations.

This role is based in our Lake Mary, FL, and Denver, CO 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

• Own the complaints review process to determine filing requirements
• Act as a subject matter expert to provide direction and training for our contractor team
• Build controls, provide metrics, and analyze data trends
• Apply learnings to help other areas anticipate customer needs ahead of regulatory issues
• Perform quality assurance review of customer complaint cases
• File and prepare Rule 4530(a)(1)(b) 30 day disclosures
• Assist in training, workflow, and troubleshooting of current complaint review process
• Prepare and submit quarterly FINRA 4530(d) report
• Refine and draft Standard Operating Procedures
• Map process workflows
• Prepare quarterly metrics for senior management
• Assist other team members in their responsibilities as needed

What you bring

• 1+ years of experience for investment or brokerage related services
• Bachelor’s degree in business administration, Finance, Economics, Statistics, Mathematics, and/or Data Analytics
• Strong understanding and exposure to financial service/trading industry.
• Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point)
• Solid relationship building and ability to deal with internal/external resources.
• Able to work independently and with a team to handle all issues while working under strict time constraints.
• Able to work in high-pressure environment with strict SLA’s and deadlines.
• Detail and results oriented and able to prioritize tasks in a multi-task environment.
• Experience in leveraging organizational skills to support team needs, focusing on execution, accuracy and efficiency.
• Strong communicator who can effectively process constructive feedback while always keeping the corporate and end user goals in mind.
• Able to exercise independent thought and judgment to diagnose and escalate issues with little input.
• Strong interpersonal skills are required

Bonus Points:

• Operations experience in Compliance or related function in financial services
• Passion for working and learning in a fast-growing company
• Active FINRA licensure (Series 7)
• Experience w/ 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
• 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.