Registration and Onboarding Specialist

The role

The Compliance Registration and Onboarding Associate conducts day-to-day registration, onboarding, and general processing tasks. This person supports the regulatory filing needs of FINRA Members and assists with the maintenance of Licensing and Registration processes.

What you will do

• Support regulatory filing needs of FINRA Members
• File Form U-4, Form U-5, and Amendments
• File Form NRF and NRF Amendments
• Collect and ensure documentation is retained for Associated Person employee files
• Assist with MyComplianceOffice tasks
• Develop and implement process improvements for examination and registration
• Maintain registered and Associated Persons documentation
• Partner with People Team for new hire onboarding, fingerprinting, and background check review
• Lead special projects as designated
• Order examination materials and respond to examination questions

Required qualifications

• 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
• Motivation as a self-starter with ability to work independently
• Good written and verbal communication
• Analytical skills
• 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)

Benefits

• Performance driven compensation with multipliers for outsized impact
• Bonus programs
• Equity ownership
• 401(k) matching
• 100% paid health insurance for employees
• 90% coverage for dependents
• Access to the Robinhood Employee Fund
• Access to AI tools and continuous AI skill-building
• Lifestyle wallet for wellness, learning, and more
• Employer-paid life & disability insurance
• Fertility benefits
• Mental health benefits

About the company

Robinhood's mission is to democratize finance for all. The Compliance Licensing & Registration Team supports US regulated entities under Robinhood Markets, primarily focused on FINRA Members.