Regulatory Reporting Compliance Associate, Robinhood

• Bachelor's degree
• 1+ years of experience in a compliance role
• General understanding of brokerage operations and compliance functions
• Curiosity and skill in finding answers, and in identifying 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

Desirable

• 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!
• Own the complaints review process and determine which complaints require a regulatory filing
• Serve as a subject matter expert, giving direction and training to our 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 what you learn to help other teams anticipate customer needs before regulatory issues arise
• Help 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