Regulatory Reporting Compliance Associate
Robinhood helps users invest in stocks, ETFs, options, and cryptocurrencies through commission-free trading with no minimum account requirements.
Funding history
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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 own complaint reviews, determine filing obligations, perform quality assurance, prepare FINRA disclosures and reports, analyze complaint trends, and build controls and metrics. You will train contractors and teammates, improve workflows, draft procedures, map processes, and escalate high-risk cases.
Requirements
- Bachelor's degree
- 1+ years of compliance experience
- Knowledge of brokerage operations and compliance functions
- Data and metrics analysis skills
- Written and verbal communication skills
- Analytical skills
- Attention to detail
- Ability to manage multiple priorities
Responsibilities
- Own the complaint review process
- Determine which complaints require regulatory filings
- Train and direct the contractor team
- Perform quality assurance reviews
- Prepare and file Rule 4530 disclosures
- Prepare and submit quarterly FINRA reports
- Build controls and metrics
- Analyze complaint data trends
- Draft and refine standard operating procedures
- Prepare quarterly metrics for senior management
Benefits
- Bonus opportunities
- Equity ownership
- 401(k) matching
- 100% paid employee health insurance
- 90% dependent health insurance coverage
- Employee Fund access for eligible US employees
- Access to AI tools
- Lifestyle wallet
- Employer-paid life insurance
- Employer-paid disability insurance
- Fertility benefits
- Mental health benefits
- Company holidays
- Paid time off
- Sick time
- Parental leave
- Catered meals
- Office events