- Westlake, TX
- Lake Mary, FL
- Date Posted
- Sep. 8, 2021
Join a leading fintech company that’s democratizing finance for all.
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.
Just as we focus on our customers, we also strive to create an inclusive environment where our employees can thrive and do impactful work. We are proud of the competitive products and company culture we continue to build and have been recognized as:
- Glassdoor Best Places to Work 2020
- TIME100 Most Influential Companies 2021
- Fortune Best Workplaces in Financial Services & Insurance™ 2021 and Fortune Best Workplaces for Millennials™ 2021
- 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.
- 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 99 - operations license or ability to acquire within 90 days
- 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
- Series 7 or desire to obtain within 90 days
- Familiar with FINRA Facility (Nasdaq ACT and/or ORF)
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’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).