Regulatory Reporting Compliance Associate
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 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
What you bring
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
Bonus points:
Operations experience in Compliance or a related function in financial services
Enthusiasm for learning in a fast-growing company
Active FINRA licensure (Series 7)
Experience with FINRA Rule 4530
What we offer
Challenging, high-impact work to grow your career
Performance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents
Access 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 more
Employer-paid life & 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.
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