Robinhood Registration and Onboarding Specialist at Robinhood supporting licensing and registration for regulated entities and individuals. Responsible for day-to-day registration, onboarding, and compliance-related tasks.
Responsibilities
Support the regulatory filing needs of FINRA Members (Form BD, Form BR, etc.)
Filing Form U-4, Form U-5, and Amendments
Filing Form NRF and NRF Amendments
Collect and ensure documentation is retained for Associated Person employee files for compliance w/ SEC Rule 17a-3(a)(12)
Assist with MyComplianceOffice tasks relating to Associated Persons requirements
Participate in developing and implementing process improvements to increase quality and scalability of examination and registration process
Maintain registered and Associated Persons documentation
Partner with Robinhood’s People Team for new hire onboarding, including fingerprinting coordination and background check review, including following up on and obtaining information for disclosure requests by regulators.
Lead special projects as designated
Responsible for ordering examination materials and responding to examination related questions
Maintain Standard Operating Procedure documentation
Maintain internal resources for reference by Registered and Associated Persons
