{"id":2739257,"url":"https://alion.io/job/robinhood-regulatory-reporting-compliance-associate","title":"Regulatory Reporting Compliance Associate","company":{"id":1146,"name":"Robinhood","domain":"robinhood.com","url":"https://alion.io/company/robinhood","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Greenhouse","truth_index":{"grade":"B","score":82,"open_postings":46,"ghost_share":0.043,"stale_share":0.609,"repost_share":0.043,"time_to_fill_p50_days":39,"computed_at":"2026-10-23T05:54:15Z"}},"role":"Legal","role_family":"Legal","seniority":"junior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Chicago, United States","Denver, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":56000,"max_usd":139000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":952},"experience_years_min":1,"visa_sponsorship":false,"relocation_package":false,"has_equity":true,"technologies":[],"status":"live","first_seen_at":"2026-10-16T18:42:08Z","employer_posted_date":"2026-10-16","last_verified_at":"2026-10-23T21:06:54Z","board_verified":true,"closed_at":null,"days_open":7,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":7},"description":"Join us in building the future of finance.\nOur mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades. The largest transfer of wealth in human history. If you’re ready to be at the epicenter of this historic cultural and financial shift, keep reading.\nAbout the team + role\nWe are building an elite team, applying frontier technologies to the world's biggest financial problems. We're looking for bold thinkers. Sharp problem-solvers. Builders who are wired to make an impact. Robinhood isn't a place for complacency, it's where ambitious people do the best work of their careers. We're a high-performing, fast-moving team with ethics at the center of everything we do. Expectations are high, and so are the rewards.\nThe Regulatory Reporting team is part of Compliance and helps Robinhood meet its obligations under Firm policy, SEC rules, and FINRA regulations. We review customer complaints from many channels, decide which ones require regulatory filings, and report on what we find. We work closely with the Customer Experience team to spot complaints early and strengthen our written supervisory and standard operating procedures. We also support partners in technology, audit, fraud, and training with ad hoc requests. Joining us means getting a front-row view of how a fast-growing brokerage manages regulatory risk!\nAs a Compliance Associate, you'll review complaints in depth to decide whether a filing is required under FINRA Rules 4530, 4513, and 2360(b)(17). You'll coordinate how complaints are collected, ingested, and reviewed, run quality assurance checks, and escalate high-risk cases. You'll also prepare complaint reports for regulators and senior leadership. Your analysis will show where complaint trends are coming from and help the team improve its processes before issues grow. You'll turn what you learn into clear metrics and recommendations that leaders can act on!\nThis role is based in our Chicago, IL, Denver, CO and Lake Mary, FL offices, with in-person attendance expected at least 3 days per week. \n\nAt Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.\nWhat you’ll do\nOwn the complaints review process and determine which complaints require a regulatory filing\nServe as a subject matter expert, giving direction and training to our contractor team\nPerform quality assurance reviews of customer complaint cases\nPrepare and file Rule 4530(a)(1)(B) 30-day disclosures\nPrepare and submit the quarterly FINRA Rule 4530(d) report\nBuild controls, provide metrics, and analyze complaint data trends\nUse what you learn to help other teams anticipate customer needs before regulatory issues arise\nHelp train team members and troubleshoot the current complaint review workflow\nDraft and refine Standard Operating Procedures, and map process workflows\nPrepare quarterly metrics for senior management\nSupport teammates with their responsibilities as needed\nWhat you bring\nBachelor's degree\n1+ years of experience in a compliance role\nGeneral understanding of brokerage operations and compliance functions\nCuriosity and skill in finding answers, and in identifying trends and drivers through data and metrics\nAbility to work independently and take initiative\nClear written and verbal communication, strong analytical skills, and close attention to detail\nStrong partnership skills\nProven ability to manage multiple tasks and set priorities in a fast-paced environment\nBonus points:\nOperations experience in Compliance or a related function in financial services\nEnthusiasm for learning in a fast-growing company\nActive FINRA licensure (Series 7)\nExperience with FINRA Rule 4530\nWhat we offer\nChallenging, high-impact work to grow your career\nPerformance driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching\nTop Tier benefits to fuel your work, including 100% paid health insurance for employees with 90% coverage for dependents\nAccess 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.\nAccess to the best AI tools on the market and continuous AI skill-building for every employee, technical or not.\nLifestyle wallet - a highly flexible benefits spending account for wellness, learning, and more\nEmployer-paid life & disability insurance, fertility benefits, and mental health benefits\nTime off to recharge including company holidays, paid time off, sick time, parental leave, and more!\nExceptional office experience with catered meals, events, and comfortable workspaces.\nIn addition to the base pay range listed below, this role is also eligible for bonus opportunities + equity + benefits.\nBase 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. The expected base pay range for this role is based on the location where the work will be performed and is aligned to one of 3 compensation zones. For other locations not listed, compensation can be discussed with your recruiter during the interview process.\nBase Pay Range:\nZone 1 (Menlo Park, CA; New York, NY; Bellevue, WA; Washington, DC)\n$74,000—$87,000 USD\nZone 2 (Denver, CO; Westlake, TX; Chicago, IL)\n$65,000—$77,000 USD\nZone 3 (Lake Mary, FL; Clearwater, FL; Gainesville, FL)\n$58,000—$68,000 USD\nClick here to learn more about our Total Rewards, which vary by region and entity.\nIf our mission energizes you and you’re ready to build the future of finance, we look forward to seeing your application.\nAI Usage Disclosure: Robinhood uses artificial intelligence (AI) tools to support parts of our recruiting process. These tools enhance the efficiency and consistency of our hiring process; however, all hiring decisions are made by our hiring teams.\nRobinhood provides equal opportunity for all applicants, offers reasonable accommodations upon request, and complies with applicable equal employment and privacy laws. Inclusion is built into how we hire and work-welcoming different backgrounds, perspectives, and experiences so everyone can do their best. 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