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The Compliance Licensing & Registration team supports the FINRA Member entities under Robinhood Markets regarding firm and individual licensing & registration. The team is responsible for onboarding new registered representatives and associated persons, helping with disclosures and reporting for individuals, and providing guidance and support for representatives
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 successful candidate will be responsible for assisting with the adherence, maintenance, and updates of Licensing & Registration processes
This role is based in our Denver, CO, Westlake, TX, or Lake Mary, FL office(s), with in-person attendance expected at least 3 days per week
This position reports into our Compliance Registration and Onboarding Manager and is located in our Westlake, TX office
Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and the Registration Team within RHF Compliance focuses on supporting firm and individual broker/dealer licensing & registration for RHF and for Robinhood Securities, Robinhood’s clearing broker/dealer. The team is responsible for onboarding new broker/dealer registrants and associated persons, helping with disclosures and reporting for individuals and the firm, and providing guidance and support for representatives
What you’ll do Support the regulatory filing needs of FINRA Members Filing Form U-4, Form U-5, and Amendments as appropriate Filing Form NRF and NRF Amendments as appropriate 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 increa