Regulatory Reporting Specialist

Robinhood was founded on a simple idea: that our financial markets should be accessible to all. With customers at the heart of our decisions, Robinhood is lowering barriers and providing greater access to financial information. Together, we are building products and services that help create a financial system everyone can participate in.

We Are Proud Of The Competitive Products And Company Culture We’ve Built And Have Been Recognized As

Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work.

• Forbes Fintech 50 2021
• Glassdoor Best Places to Work 2021
• Inc. Best-Led Companies 2021
• TIME 100 Most Influential Company 2021

We’re growing and looking for…

We continue to hire Robinhoodies at a rapid pace to drive this journey, and with that growth comes necessary change. We’re seeking culture builders and curious thinkers looking to co-author the next chapters of our story. We’re in build mode, majorly expanding our team while also growing up as a company. Joining now means helping shape our structures and systems, then taking part as we launch into our ambitious future.

Check out life at Robinhood on The Muse!

About The Team

Robinhood Securities is a clearing firm; clearing for our affiliate Robinhood Financial. We are seeking a motivated self-starter to join our Regulatory Reporting team! As a Regulatory Reporting Associate, you’ll be a part of a small team responsible for critical processes to support the regulatory reporting (TRF, CAT/CAIS, LTID, LOPR, Insite, Short Interest) for the clearing firm. The candidate will need to be familiar with the life cycle of an order as well as the current equity and option reporting rules and regulations.

You will also be challenged with scaling to support Robinhood’s results-oriented growth plans. The candidate will have the opportunity to strategize operational efficiency by automating processes, and collaborating with our product and engineering teams to execute on innovative projects.

What You’ll Do Day-to-day

• Ensure reporting is completed in a timely manner.
• Analyze and process various regulatory reports including CAT/CAIS, LTID, Insite, Short Interest, TRF and ORF.
• Monitor reporting and assist in the timely resolution of all regulatory reporting discrepancies/errors internally and within the respective FINRA Gateway.
• Document and finalize all actions and workflow.
• Assist manager with drafting or updating firm workflows, policies and procedures for team.

About You

• Bachelor’s degree or equivalent experience
• 2-4 years of financial services operations or compliance experience along with regulatory trade reporting
• Working knowledge of applicable financial products, e.g. equities and options
• Series 7
• Strong Project Management Skills
• Strong Analytical skills
• Familiarity with FINRA systems
• Strong written and verbal communication skills
• Ability to work in a fast paced environment and meet critical deadlines
• Motivated self-starter with a strong sense of responsibility in their work
• A strong team player who is cooperative and works well under pressure
• Strives for accuracy and attention to detail in all work
• Proven skill in managing multiple tasks and in establishing priorities
• Ability to learn quickly and adapt to new changes and new challenges

Bonus Points

Familiar with FINRA Facility (Nasdaq ACT and/or ORF)

We are excited to share that Robinhood is a primarily remote company! Our mission to democratize finance for all starts with our people, and that means bringing in and supporting Robinhoodies who can best help drive our mission forward — no matter where they’re based in the country. Read more here.

This job is following Robinhood’s Primarily Work from Anywhere model which means the Robinhoodie can work anywhere in the country of employment.

We’re looking for more growth-minded and collaborative people to be a part of our journey in democratizing finance for all. If you’re ready to give 100% in helping us achieve our mission—we’d love to have you apply even if you feel unsure about whether you meet every single requirement in this posting. At Robinhood, we’re looking for people invigorated by our mission, values, and drive to change the world, not just those who simply check off all the boxes.

Robinhood promotes diversity and provides equal opportunity for all applicants and employees. We are dedicated to building a company that represents a variety of backgrounds, perspectives, and skills. We believe that the more inclusive we are, the better our work (and work environment) will be for everyone. Additionally, Robinhood provides reasonable accommodations for candidates on request and respects applicants’ privacy rights. To review Robinhood’s Privacy Policy please visit Robinhood – US Applicant Privacy Policy.

Robinhood’s benefits include generous time off, 401(k) participation with employer match, comprehensive health coverage, a health savings account (HSA), wellness benefits, backup childcare and education stipends (all benefits are subject to applicable taxes and based on eligibility).