Regulatory Reporting Compliance Associate

Join us in building the future of finance. 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. About the team + role 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! This role is based in our Chicago, IL, Denver, CO and Lake Mary, FL offices, with in-person attendance expected at least 3 days per week. 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. What you’ll do Own the complaints review process and determine which complaints require a regulatory filingServe as a subject matter expert, giving direction and training to our contractor teamPerform quality assurance reviews of customer complaint casesPrepare and file Rule 4530(a)(1)(B) 30-day disclosuresPrepare and submit the quarterly FINRA Rule 4530(d) reportBuild controls, provide metrics, and analyze complaint data trendsUse what you learn to help other teams anticipate customer needs before regulatory issues ariseHelp train team members and troubleshoot the current complaint review workflowDraft and refine Standard Operating Procedures, and map process workflowsPrepare quarterly metrics for senior managementSupport teammates with their responsibilities as needed What you bring Bachelor's degree1+ years of experience in a compliance roleGeneral understanding of brokerage operations and compliance functionsCuriosity and skill in finding answers, and in identifying trends and drivers through data and metricsAbility to work independently and take initiativeClear written and verbal communication, strong analytical skills, and close attention to detailStrong partnership skillsProven 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 servicesEnthusiasm for learning in a fast-growing companyActive FINRA licensure (Series 7)Experience with FINRA Rule 4530 What we offer Challenging, high-impact work to grow your careerPerformance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matchingTop Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependentsAccess 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 moreEmployer-paid life & disability insurance, fertility benefits, and mental health benefitsTime 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. In addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits. Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process. Base Pay Range Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC) $74,000—$87,000 USD Zone 2 (Denver, CO; Westlake, TX; Chicago, IL) $65,000—$77,000 USD Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL) $58,000—$68,000 USD Click here to learn more about our Total Rewards, which vary by region and entity. If our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application. AI Usage Disclosure: Robinhood uses artificial intelligence (AI) tools to support parts of our recruiting process. These tools enhance the efficiency and consistency of our hiring process; however, all hiring decisions are made by our hiring teams. Robinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work—welcoming different backgrounds, perspectives, and experiences so everyone can do their best. Please review the Privacy Policy for your country of application.