About the position

The Regulatory Reporting Compliance Associate will join Robinhood’s Compliance team, which helps the company meet obligations under firm policy, SEC rules, and FINRA regulations. The Regulatory Reporting team reviews customer complaints from multiple channels, determines which require regulatory filings, and reports its findings. It works with Customer Experience to identify complaints early and improve written supervisory and standard operating procedures, and supports technology, audit, fraud, and training partners with ad hoc requests. The associate will conduct in-depth complaint reviews to determine filing requirements under FINRA Rules 4530, 4513, and 2360(b)(17). The role coordinates complaint collection, ingestion, and review; performs quality assurance; escalates high-risk cases; and prepares reports for regulators and senior leadership. The associate also analyzes complaint trends, develops metrics and recommendations, and helps improve processes and controls. The role is based in Robinhood’s Chicago, Illinois; Denver, Colorado; or Lake Mary, Florida offices. In-person attendance is expected at least three days per week.

Responsibilities

• Own the complaints review process and determine which complaints require a regulatory filing.
• Serve as a subject matter expert, providing direction and training to the contractor team.
• Perform quality assurance reviews of customer complaint cases.
• Prepare and file Rule 4530(a)(1)(B) 30-day disclosures.
• Prepare and submit the quarterly FINRA Rule 4530(d) report.
• Build controls, provide metrics, and analyze complaint data trends.
• Use complaint analysis to help other teams anticipate customer needs before regulatory issues arise.
• Train team members and troubleshoot the current complaint review workflow.
• Draft and refine Standard Operating Procedures and map process workflows.
• Prepare quarterly metrics for senior management.
• Support teammates with their responsibilities as needed.

Requirements

• Bachelor's degree.
• At least 1 year of experience in a compliance role.
• General understanding of brokerage operations and compliance functions.
• Ability to find answers and identify 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.

Nice-to-haves

• Operations experience in Compliance or a related financial services function.
• Enthusiasm for learning in a fast-growing company.
• Active FINRA licensure (Series 7).
• Experience with FINRA Rule 4530.

Benefits

• Performance-driven compensation, bonus programs, equity ownership, and 401(k) matching.
• 100% paid health insurance for employees and 90% coverage for dependents.
• Access for eligible US employees to invest in a private employee fund that provides exposure to Robinhood Ventures funds.
• Access to AI tools and continuous AI skill-building.
• Lifestyle wallet, a flexible benefits spending account for wellness, learning, and more.
• Employer-paid life and disability insurance, fertility benefits, and mental health benefits.
• Company holidays, paid time off, sick time, parental leave, and more.
• Catered meals, events, and comfortable workspaces.
• Bonus opportunities, equity, and benefits.