Brokerage Compliance Operations Associate

<div class="content-intro"><h2>Join us in building the future of finance.</h2> <p>Our mission is to democratize finance for all. <a href="https://www.cerulli.com/press-releases/cerulli-anticipates-124-trillion-in-wealth-will-transfer-through-2048" target="_blank">An estimated $124 trillion of assets</a> will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.</p></div><p>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.&nbsp;</p> <p>The Compliance Licensing &amp; Registration team supports the FINRA Member entities under Robinhood Markets regarding firm and individual licensing &amp; registration. The team is responsible for onboarding new registered representatives and associated persons, helping with disclosures and reporting for individuals, and providing guidance and support for representatives.</p> <p>The <strong>Compliance Registration and Onboarding Associate </strong>will be responsible for conducting the day-to-day process of Robinhood’s registration, onboarding, and general processing of related tasks. The successful candidate will be responsible for assisting with the adherence, maintenance, and updates of Licensing &amp; Registration processes.</p> <p><strong>This role is based in our Denver, CO, Westlake, TX, or Lake Mary, FL office(s), with in-person attendance expected at least 3 days per week.&nbsp;</strong></p> <p>This position reports into our Compliance Registration and Onboarding Manager and is located in our Westlake, TX office.</p> <p>Robinhood Financial (“RHF”) is Robinhood’s retail broker/dealer, and the Registration Team within RHF Compliance focuses on supporting firm and individual broker/dealer licensing &amp; registration for RHF and for Robinhood Securities, Robinhood’s clearing broker/dealer. The team is responsible for onboarding new broker/dealer registrants and associated persons, helping with disclosures and reporting for individuals and the firm, and providing guidance and support for representatives.</p> <h2><strong>What you’ll do</strong></h2> <ul> <li>Support the regulatory filing needs of FINRA Members</li> <li>Filing Form U-4, Form U-5, and Amendments as appropriate</li> <li>Filing Form NRF and NRF Amendments as appropriate</li> <li>Collect and en