Registration and Onboarding Specialist

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.

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.

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. 

• →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

• 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)