Greenhouse ·
contractRegulatory Reporting Compliance Associate
Robinhood · Chicago, IL; Denver, CO; Lake Mary, FL
Robinhood is a financial services company focused on democratizing access to the financial markets. This contract role within the Regulatory Reporting team centers on managing the lifecycle of customer complaints to ensure adherence to SEC and FINRA regulations. Daily responsibilities involve reviewing incoming complaints to determine if they meet the criteria for regulatory filings under specific FINRA rules, such as 4530, 4513, and 2360(b)(17). The associate will perform quality assurance on case reviews, prepare necessary disclosures and quarterly reports for regulators, and analyze complaint data to identify trends. Beyond reporting, the role requires drafting standard operating procedures, providing guidance to team members, and collaborating with cross-functional departments like technology, audit, and fraud to mitigate risk. This position is well-suited for candidates with at least one year of experience in compliance or brokerage operations who possess strong analytical skills and a keen eye for detail. The ideal candidate is comfortable working in a fast-paced environment, capable of managing multiple priorities independently, and interested in translating complex regulatory data into actionable insights for senior leadership.
Education
- Level: Bachelor's degree
- Courses: Bachelor's
Key Skills
Notes
['In-person 3 days/week', 'Active FINRA Series 7 license']
Experience required
1-1 years experienceAbout the Role We are building an elite team applying frontier technologies to financial problems. The Regulatory Reporting team helps Robinhood meet obligations under SEC and FINRA. The role reviews customer complaints, determines regulatory filing needs, prepares reports, and provides metrics. Responsibilities Own the complaints review process and determine filing requirements. Serve as subject matter expert and train contractor team. Perform quality assurance reviews of complaint cases. Prepare and file Rule 4530(a)(1)(B) disclosures and quarterly FINRA Rule 4530(d) reports. Build controls, provide metrics, and analyze complaint data trends. Draft and refine Standard Operating Procedures and map process workflows. Prepare quarterly metrics for senior management. Support teammates as needed. Requirements Bachelor's degree. 1+ years experience in a compliance role. Understanding of brokerage operations and compliance functions. Ability to work independently, strong analytical and communication skills. Experience with FINRA regulations, especially Rule 4530. Active FINRA licensure (Series 7) preferred. Eligibility Open to candidates with the above qualifications; location in Chicago, Denver, or Lake Mary with hybrid work (minimum 3 days onsite).
Skills for this role
Required skills
Also mentioned in the listing
| Role | Regulatory Reporting Compliance Associate |
|---|---|
| Company | Robinhood |
| Location | Chicago, IL; Denver, CO; Lake Mary, FL |
| Type | contract |
| Compensation | Not disclosed |
| Posted | 2026-10-16 |
| Deadline | Rolling |
Typical process for this type of role
A general guide — the exact steps for this specific listing may vary; check the original posting for details.
- 1ApplicationSubmit your resume through the apply link.
- 2ScreeningRecruiter reviews your background against the role.
- 3AssessmentA technical test, assignment, or coding round, depending on the role.
- 4Interview(s)One or more rounds with the hiring team.
- 5OfferOffer letter with compensation and start date.
Before you apply
0/4Regulatory Reporting Compliance Associate at Robinhood: frequently asked questions
- Who can apply for the Regulatory Reporting Compliance Associate role at Robinhood?
- The listing asks for Bachelor's degree (Bachelor's); 1-1 years of experience.
- What skills does the Regulatory Reporting Compliance Associate role require?
- The listing highlights FINRA compliance, Regulatory reporting, Data analysis, Quality assurance, Process improvement, Standard Operating Procedures, Metrics reporting, Communication, Analytical skills. Show each of these in a project or past role on your resume.
- What is the salary for this role?
- Robinhood has not stated compensation in the listing. Check the original posting or ask during the application process.
- Is the Regulatory Reporting Compliance Associate position remote, hybrid or onsite?
- The listing marks this role as hybrid, with Chicago, IL; Denver, CO; Lake Mary, FL as the location.
- What is the application deadline?
- Robinhood has not listed a fixed deadline, so apply early in case the opening is filled.
- How do I apply for the Regulatory Reporting Compliance Associate role?
- Use the Apply button on this page. It opens the original listing on boards.greenhouse.io, where you submit your application with the company.
More at Robinhood
Other jobs at Robinhood
- Fraud Operations Program Manager · Chicago, IL; Denver, CO; Lake Mary, FL; Westlake, TX
- Staff Web Engineer, Advisor Products · New York, NY
- Staff Software Engineer, Exchange Platform · London, UK
- Staff Product Manager, Canada Expansion · Toronto, Canada
- Fraud Investigations Analyst · Denver, CO; Westlake, TX
Explore Related Placements
// similar opportunities
You might also like
Finance Content Creator
Groww
About Groww: We are a passionate group of people focused on making financial services accessible to every Indian through a multi-product platform. Each day, we ...
Contract position, Bangalore location, 1-2 years experience required
Accountant (contract) – 4 Posts
District Panchayat Kanker, Chhattisgarh
District Panchayat Kanker, Chhattisgarh · 4 vacancies
Qualification: B.Com | Category: Chhattisgarh...
Contractual position, 4 vacancies available.
Senior Manager, Global Workforce Planning
Lyft
At Lyft, our purpose is to serve and connect. We aim to achieve this by cultivating a work environment where all team members belong and have the opportunity to...
Corporate Paralegal, EMEA
Flexport
About Flexport: At Flexport, we believe global trade can move the human race forward. That’s why it’s our mission to make global commerce so easy there will be ...
Risk Analyst
Lyft
At Lyft, our purpose is to serve and connect. We aim to achieve this by cultivating a work environment where all team members belong and have the opportunity to...
Trucking Procurement Manager
Flexport
About Flexport: At Flexport, we believe global trade can move the human race forward. That’s why it’s our mission to make global commerce so easy there will be ...