FreeHire

Robinhood Markets, Inc.

Brokerage Compliance Operations Associate

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You will handle the day to day licensing onboarding and registration tasks for associated persons and ensure compliance with FINRA rules. You will file Form U4 Form U5 and NRF amendments and collect documentation for employee files. You will maintain records coordinate fingerprinting and background checks and support onboarding with the People Team. You will respond to questions and provide support for regulators and assist with examinations and disclosures. You will help improve processes and maintain standard operating procedures. You will work in the Denver or Westlake or Lake Mary offices with in person attendance as required.

Responsibilities

  • Support the regulatory filing needs of FINRA Members
  • File Form U4 Form U5 and Amendments as appropriate
  • File NRF and NRF Amendments as appropriate
  • Collect and ensure documentation retained for Associated Person employee files for compliance with 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
  • Coordinate fingerprinting and background checks with People Team
  • Respond to questions and provide support for Associated Persons in licensing and registration
  • Support special projects and maintain SOP documentation
  • Maintain internal resources for reference by Registered and Associated Persons
  • Assist in tasks related to FINRA Rule 1240 and related documentation
  • Foster a culture of high ethical standards and integrity and support core values and risk culture
  • Provide support to broker feed team for onboarding and maintenance of tool

Requirements

  • Bachelor's Degree in a related field
  • 2+ years working in Compliance, Customer Experience, or related Brokerage function
  • Motivation to be a self-starter with ability to work independently
  • Good written and verbal communication analytical skills and strong attention to detail
  • High emotional intelligence
  • Driven to learn new skills tools and seek out knowledge
  • Focused on utilizing AI to increase impact in role

Benefits

  • Challenging high impact work to grow your career
  • Performance driven compensation with multipliers for outsized impact bonus programs equity ownership and 401 k matching
  • Best in class benefits to fuel your work including 100% paid health insurance for employees with 90% coverage for dependents
  • Lifestyle wallet a highly flexible benefits spending account for wellness learning and more
  • Employer paid life and 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