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Salary: USD 58,000 - 87,000 / annual
Robinhood's Regulatory Reporting team is seeking a Compliance Associate to join their fast-growing compliance function. The team helps Robinhood meet its obligations under Firm policy, SEC rules, and FINRA regulations by reviewing customer complaints, determining which require regulatory filings, and reporting findings to regulators and senior leadership.
In this role, you will own the complaints review process and determine which complaints require regulatory filing 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 prepare complaint reports for regulators and senior leadership, including Rule 4530(a)(1)(B) 30-day disclosures and quarterly FINRA Rule 4530(d) reports.
You'll analyze complaint data trends to identify where issues are coming from and help the team improve processes before problems escalate. You'll build controls, provide metrics, and turn insights into clear recommendations that leaders can act on. You'll also serve as a subject matter expert, giving direction and training to the contractor team, help train team members on the complaint review workflow, and draft or refine Standard Operating Procedures and process workflows. Additionally, you'll support partners in technology, audit, fraud, and training with ad hoc requests and prepare quarterly metrics for senior management.
This is a hybrid role based in Chicago, IL; Denver, CO; or Lake Mary, FL, with in-person attendance expected at least 3 days per week. You'll get a front-row view of how a fast-growing brokerage manages regulatory risk and work with a high-performing, fast-moving team with ethics at the center.
Requirements:
- 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, 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 qualifications:
- Operations experience in Compliance or related function in financial services
- Enthusiasm for learning in a fast-growing company
- Active FINRA licensure (Series 7)
- Experience with FINRA Rule 4530
