Registration and Onboarding Specialist



Westlake, TX, USA · Lake Mary, FL, USA
Posted on Thursday, April 27, 2023

Join a leading fintech company that’s democratizing finance for all.

Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

As we continue to build...

We’re seeking curious thinkers looking to co-author the next chapters of our story. Joining now means helping shape our vision, structures and systems; playing a key-role as we launch into our ambitious future.

About the team:

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 & 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.

The Compliance Registration and Onboarding Associate will be responsible for conducting the day-to-day process of Robinhood’s registration, onboarding, and examination compliance program. The successful candidate will be responsible for assisting with the development and design of departmental processes and guidelines.

The preferred location for this position is in or around Robinhood's offices in Lake Mary, FL or Westlake, TX with in-office work capabilities, as may be required by management.

What you’ll do day-to-day:

  • Oversee and run day-to-day process for initial registration and onboarding
  • Filing Form U-4 and Form U-5
  • Filing Form U4 and 4530 Disclosures as required
  • Making Rule 4530 (a) filings as appropriate
  • Assist with MyComplianceOffice (BD Disclosure System) tasks (OBA, PST, etc.) and items stemming from Registered and Associated Person certifications
  • Assist in exam scheduling, ordering study materials, and responding to examination and registration related questions
  • Develop and keep updated Registered and Associated Persons rosters
  • Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review
  • Responding to questions and providing support for employees
  • Assist in completion of Firm controls as documented in Written Supervisory Procedures
  • Provide overall support on special projects as designated by the Compliance Manager

About you:

  • Bachelor’s Degree in a related field
  • 3+ years working in Broker Dealer Compliance, or related function
  • Strong knowledge of FINRA Rules
  • Motivation to be a self-starter with ability to work independently
  • Good written and verbal communication, analytical skills and strong attention to detail
  • High emotional intelligence
  • Experience using FINRA Gateway

Bonus points:

  • Passion for working and learning in a fast-growing company
  • Strong understanding of brokerage, registration and compliance functions
  • Series 7, Series 24

The expected salary range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. This role is also eligible to participate in a Robinhood bonus plan and Robinhood’s equity plan.

US Zone 1: $94000 - $110000
US Zone 2: $82000 - $97000
US Zone 3: $73000 - $86000

Base pay for the successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. You can view comp zones for our US office locations in the table below. For other locations not listed, compensation can be discussed with your recruiter during the interview process.

Office locations (by comp zone)
US Zone 1: Menlo Park, NYC, Seattle, Washington DC
US Zone 2: Denver, Westlake (Dallas), Chicago
US Zone 3: Lake Mary

We’re looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you’re ready to give 100% in helping us achieve our mission—we’d love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we're looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.

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. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants' privacy rights. To review Robinhood's Privacy Policy please visit Robinhood - US Applicant Privacy Policy. If you are an applicant located in the UK or EEA, please visit the Robinhood UK/EEA Applicant Privacy Policy.

Click here to learn more about Robinhood’s Benefits.