Brokerage Compliance Operations Associate

Compliance Registration and Onboarding Associate

The Compliance Registration and Onboarding Associate is responsible for the day‑to‑day registration, onboarding, and licensing tasks for Robinhood’s broker‑dealer entities.

This role is based in Denver, CO;
Westlake, TX; or Lake Mary, FL. In‑person attendance is expected at least three days per week.

Reports to the Compliance Registration and Onboarding Manager.

• Support regulatory filings of FINRA Members (Form U‑4, Form U‑5, Amendments, Form NRF, etc.).
• Collect and maintain documentation for Associated Person files in compliance with SEC Rule 17a‑3(a)(12).
• Assist with My Compliance Office  tasks and associated person requirements.
• Participate in process improvements to enhance quality and scalability of examination and registration processes.
• Maintain registered and associated persons documentation and SOPs.
• Coordinate new‑hire onboarding with People Team, including fingerprinting and background checks.
• Respond to questions and provide support for Associated Persons.
• Handle special projects, order examination materials, and address exam‑related questions.
• Assist with FINRA Rule 1240 and documentation tasks.
• Foster a culture of high ethical standards, risk awareness, and integrity.
• Provide support to the broker feed team for onboarding and tool maintenance.

• Bachelor’s degree in a related field.
• 2+ years working in compliance, customer experience, or a related brokerage function.
• Self‑starter who can work independently.
• Strong written and verbal communication, analytical skills, and attention to detail.
• High emotional intelligence (EQ).
• Motivated to learn new skills, tools, and seek knowledge.
• Focused on utilizing AI to increase impact in the role.

• Passion for working and learning in a fast‑growing company.
• Strong understanding of FINRA Registration and Rules.
• FINRA Licensing experience.
• Superset proficiency.
• Familiarity with FINRA CRD.

• Challenging, high‑impact work to grow your career.
• Performance‑driven compensation with multipliers, bonus programs, equity ownership, and 401(k) matching.
• 100% paid health insurance for employees and 90% coverage for dependents.
• Lifestyle wallet—flexible benefits spending account for wellness, learning, and more.
• Employer‑paid life & disability insurance, fertility benefits, and mental health benefits.
• Time off including company holidays, paid time off, sick time, parental leave, and more.
• Exceptional office experience with catered meals, events, and comfortable work spaces.

• Zone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC): $31 ‑ $37 USD.
• Zone 2 (Denver, CO; Westlake, TX; Chicago, IL): $28 ‑ $33 USD.
• Zone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL): $27 ‑ $32 USD.

Robinhood promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights.