Regulatory Reporting Compliance Associate (Fintech)

Location: Chicago, IL; Denver, CO; or Lake Mary, FL, with in-person attendance required at least 3 days per week

Base pay: $74,000–$87,000 USD in Zone 1; $65,000–$77,000 USD in Zone 2; $58,000–$68,000 USD in Zone 3, plus potential bonus, equity, and benefits

Company

Robinhood is a fintech company building financial products and services intended to democratize finance.

What you will do

• Own the customer complaint review process and determine which cases require regulatory filings.
• Prepare and submit FINRA Rule 4530 disclosures and quarterly reports.
• Perform quality assurance reviews, escalate high-risk cases, and direct and train contractor staff.
• Build controls, analyze complaint trends, and prepare metrics and recommendations for senior management.
• Draft Standard Operating Procedures and map complaint review workflows.
• Partner with customer experience, technology, audit, fraud, and training teams to identify and prevent regulatory issues.

Requirements

• Bachelor’s degree.
• At least 1 year of experience in a compliance role.
• General understanding of brokerage operations and compliance functions.
• Strong analytical, written, verbal communication, prioritization, and attention-to-detail skills.
• Ability to work independently, manage multiple tasks, identify trends through data and metrics, and build effective partnerships.
• Ability to attend the Chicago, Denver, or Lake Mary office at least 3 days per week.

Nice to have

• Compliance or operations experience in financial services.
• Active FINRA Series 7 license.
• Experience with FINRA Rule 4530.
• Interest in learning within a fast-growing company.

Culture & Benefits

• High-impact work in a fast-moving environment focused on financial regulation and customer protection.
• Performance-driven compensation with bonus programs, equity ownership, and 401(k) matching.
• Health insurance, employer-paid life and disability insurance, fertility benefits, and mental health benefits.
• Paid time off, sick time, company holidays, and parental leave.
• Flexible lifestyle wallet for wellness, learning, and other expenses.
• AI tools, continuous AI skill-building, catered meals, events, and comfortable office workspaces.