The opportunity
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades.
What you'll do
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
What they're looking for
- 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
