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Regulatory Reporting Compliance Associate

Robinhood· Brokerage Compliance
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Hybrid (Chicago, IL; Denver, CO; Lake Mary, FL)$58k - $87kFull-timePosted 4d ago

About the role

Compliance-focused role within the Regulatory Reporting team to review customer complaints, determine regulatory filing requirements, and report findings to regulators and leadership. Based in Chicago, IL; Denver, CO; or Lake Mary, FL with in-person attendance expected at least 3 days per week.

Responsibilities

  • 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

Qualifications

  • 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

Skills

Required:Complaint review and regulatory filing determinationQuality assuranceRegulatory reporting (FINRA Rule 4530, 4513, 2360(b)(17))

Benefits

  • 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.
Last updated Oct 21, 2026. Interested? Apply on the company site.

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