Registration and Onboarding Specialist

Join Robinhood in building the future of finance, where an estimated $124 trillion of assets will be inherited by younger generations in the next two decades.

We are seeking a Registration and Onboarding Specialist to join our elite team, applying frontier technologies to the world’s biggest financial problems. As a high-performing, fast-moving team with ethics at the center of everything we do, we expect ambitious people to do the best work of their careers.

The Compliance Licensing & Registration Team supports US regulated entities under Robinhood Markets, primarily focused on FINRA Members. Your role will involve conducting the day-to-day process of Robinhood’s registration, onboarding, and general processing of related tasks.

Responsibilities:

• Support regulatory filing needs of FINRA Members (Form BD, Form BR, etc.)
• File Form U-4, Form U-5, and Amendments
• File Form NRF and NRF Amendments
• Collect and retain documentation for Associated Person employee files for compliance with SEC Rule 17a-3(a)(12)
• Assist with MyComplianceOffice tasks relating to Associated Persons requirements
• Develop and implement 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
• Lead special projects as designated
• Order examination materials and respond to examination-related questions
• Maintain Standard Operating Procedure documentation
• Maintain internal resources for reference by Registered and Associated Persons
• Respond to questions and provide 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
• Foster and contribute to a culture of high ethical standards and integrity
• Provide support for broker feed offering and processes for delivering data

Requirements:

• 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
• 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)

What we offer:

• Challenging, high-impact work to grow your career
• Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
• Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
• Access to the Robinhood Employee Fund that gives eligible US employees the opportunity to invest in a private employee fund that provides exposure to Robinhood Ventures funds
• Access to the best AI tools on the market and continuous AI skill-building for every employee, technical or not
• Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more
• Employer-paid life & disability insurance, fertility benefits, and mental health benefits
• Time off to recharge including company holidays, paid time off, sick time, parental leave, and more!
• Exceptional office experience with catered meals, events, and comfortable workspaces

Base Pay Range: Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC): $94,000-$110,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL): $82,000-$97,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL): $73,000-$86,000 USD