Regulatory Reporting Compliance Associate

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 Regulatory Reporting team is part of Compliance and helps Robinhood meet its obligations under Firm policy, SEC rules, and FINRA regulations. We review customer complaints from many channels, decide which ones require regulatory filings, and report on what we find. We work closely with the Customer Experience team to spot complaints early and strengthen our written supervisory and standard operating procedures. We also support partners in technology, audit, fraud, and training with ad hoc requests. Joining us means getting a front-row view of how a fast-growing brokerage manages regulatory risk!

As a Compliance Associate, you'll review complaints in depth to decide whether a filing is required under FINRA Rules 4530, 4513, and 2360(b)(17). You'll coordinate how complaints are collected, ingested, and reviewed, run quality assurance checks, and escalate high-risk cases. You'll also prepare complaint reports for regulators and senior leadership. Your analysis will show where complaint trends are coming from and help the team improve its processes before issues grow. You'll turn what you learn into clear metrics and recommendations that leaders can act on!

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.

• →Own the complaints review process and determine which complaints require a regulatory filing
• →Serve as a subject matter expert, giving direction and training to our contractor team
• →Perform quality assurance reviews of customer complaint cases
• →Prepare and file Rule 4530(a)(1)(B) 30-day disclosures
• →Prepare and submit the quarterly FINRA Rule 4530(d) report
• →Build controls, provide metrics, and analyze complaint data trends
• →Use what you learn to help other teams anticipate customer needs before regulatory issues arise
• →Help train team members and troubleshoot the current complaint review workflow
• →Draft and refine Standard Operating Procedures, and map process workflows
• →Prepare quarterly metrics for senior management
• →Support teammates with their responsibilities as needed

• Bachelor's degree
• 1+ years of experience in a compliance role
• General understanding of brokerage operations and compliance functions
• Curiosity and skill in finding answers, and in identifying trends and drivers through data and metrics
• Ability to work independently and take initiative
• Clear written and verbal communication, strong analytical skills, and close attention to detail
• Strong partnership skills
• Proven ability to manage multiple tasks and set priorities in a fast-paced environment

Bonus points:

• Operations experience in Compliance or a related function in financial services
• Enthusiasm for learning in a fast-growing company
• Active FINRA licensure (Series 7)
• Experience with FINRA Rule 4530