Regulatory Reporting Compliance Associate

📋 Description

• 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

🎯 Requirements

• 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
• Ability to work independently and take initiative
• Clear written and verbal communication, strong analytical skills, and close attention to detail

🎁 Benefits

• Challenging, high-impact work to grow your career
• Performance driven compensation with multipliers for outsized impact, bonus programs, equity
• Top Tier benefits to fuel your work, including 100% paid health insurance for employees with 90%
• Access to the Robinhood Employee Fund that gives eligible US employees the opportunity to invest in
• Access to the best AI tools on the market and continuous AI skill-building for every employee
• Lifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more