Lead the charge in finance innovation with Robinhood as a Regulatory Compliance Associate. Focus on complaint reviews and regulatory reporting to enhance compliance strategies. As part of the Regulatory Reporting team, you will handle customer complaints and fulfill obligations under Firm policy, SEC rules, and FINRA regulations. Your expertise will be crucial in assessing which complaints necessitate regulatory filings and preparing reports for leadership. The role also involves quality assurance checks and providing insights into complaint data trends to improve processes.

Key Responsibilities
• Review customer complaints for regulatory filings
• Lead training for contractor team on regulations
• Conduct quality assurance on complaint investigations
• Prepare 30-day disclosures as per Rule 4530(a)(1)(B)
• Analyze data trends to inform best practices

Requirements:
• Bachelor’s degree required
• Minimum 1 year in a compliance role
• Robust analytical and communication skills
• Ability to manage multiple tasks efficiently
• Experience with FINRA regulations is a plus Drive impactful compliance efforts at Robinhood using your expertise in complaint analysis and regulatory affairs.

📌 Regulatory Compliance Associate at Robinhood (Quinte West)
🏢 Robinhood
📍 Quinte West