Registration and Onboarding Specialist
Robinhood helps users invest in stocks, ETFs, options, and cryptocurrencies through commission-free trading with no minimum account requirements.
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About Robinhood
Robinhood helps retail investors access financial markets through commission-free trading of stocks, ETFs, options, and cryptocurrencies. With it, users can invest with no account minimums, earn rewards through retirement accounts with matching contributions, and access advanced trading tools. Robinhood democratizes investing by making financial markets accessible to everyone, not just wealthy investors.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
You will handle day-to-day registration and onboarding for Robinhood's FINRA Members, filing Forms U-4, U-5, BD, BR and NRF and maintaining Associated Person documentation. You will partner with the People Team on onboarding, review outside business activities and other policy items, support continuing education, and help improve processes. The role is based in Denver, Chicago, New York or Lake Mary with attendance at least 3 days per week.
Requirements
- Bachelor's degree in a related field
- 5+ years in Compliance, Licensing & Registration or related brokerage function
- Strong working knowledge of FINRA CRD / Gateway
- Strong understanding of FINRA registration and rules (1000-3000)
- Self-starter able to work independently
- Good written and verbal communication, analytical skills and attention to detail
- Focus on using AI to increase impact
Responsibilities
- Support regulatory filings for FINRA Members including Form BD and Form BR
- File Form U-4, Form U-5, Form NRF and amendments
- Collect and retain Associated Person documentation per SEC Rule 17a-3(a)(12)
- Assist with MyComplianceOffice tasks
- Develop and implement process improvements
- Partner with the People Team on onboarding, fingerprinting and background checks
- Order examination materials and respond to examination questions
- Maintain SOP documentation and internal resources
- Support Associated Persons with licensing and registration questions
- Review outside business activities, private securities transactions, gifts and entertainment, and professional designations
- Assist with FINRA Rule 1240 Continuing Education
- Support broker feed offering and data delivery
- Lead special projects as designated
Benefits
- Bonus opportunities
- Equity
- 401(k) matching
- 100% paid health insurance for employees with 90% coverage for dependents
- Robinhood Employee Fund access
- Access to AI tools and AI skill-building
- Lifestyle wallet
- Employer-paid life and disability insurance
- Fertility benefits
- Mental health benefits
- Company holidays, paid time off, sick time and parental leave
- Catered meals and office events