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investigations finra series 7 finra series 63 escalations regulatory compliance📋 Description
- Investigate and resolve escalated customer cases, including leadership and regulatory inquiries.
- Collaborate with Compliance, Legal, and senior leadership to summarize risk and outcomes.
- Handle high-visibility cases from social media and public channels with timely resolutions.
- Support executive office escalations with thoughtful, formal resolutions.
- Ensure professional communication and protect Robinhood’s brand.
🎯 Requirements
- FINRA Series 7 and 63 licenses required
- 2+ years of customer support in financial services
- FINRA Series 24 (or 9/10) required or obtained within 120 days
- Strong analytical and investigative skills
- Experience handling highly escalated or sensitive situations
- Strong ownership, judgment, and adaptability
- Excellent written and verbal communication with executives and cross-functional partners
🎁 Benefits
- Challenging, high-impact work to grow your career
- Performance-driven pay with bonuses, equity, and 401(k) matching
- 100% paid health insurance for employees
- Lifestyle wallet for wellness, learning, and more
- Employer-paid life and disability insurance
- Time off to recharge including holidays, PTO, sick time, parental leave, and more
- Exceptional office experience with catered meals, events, and a collaborative environment
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