Responsible for complying with FINRA Data Requests regarding customer information, communications, complaints among other sensitive information.Supervised and controlled workflow of team in charge of the review of reportable communications under FINRA 4530(d)Supervised intake and review of all instances of complaints regarding Associated Persons and Registered RepresentativesSupervised intake and review of all Civil Litigations regarding RHF and RHS for possible disclosures under FINRA Rules 4530(d), 4530(a)(1)(B), 4530(a)(1)(G), 4530(f),(G)Created and Presented Quarter Review Document and Presentation to Robinhood Senior Leaders regarding complaints data, trade volume, regulatory matters, customer support tickets, etcPartnered with External Counsel in support of creating satisfactory responses to RegulatorsPartnered with In-House Legal Team to strategize responses to Regulatory Requests

Responsible for expert-level review of complaints and disclosures to determine FINRA filing applicability in accordance with FINRA Rule 4530, 4513 and 2360(b)(17).Filed and prepared all FINRA Rule 4530(a)(1)(B) 30 day disclosures regarding allegations of theft or misappropriation of funds and securities .Filed and prepared all FINRA Rule 4530 (F) and (G), (a)(1)(G) disclosures related to arbitrations and legal awards. Updated WSP’s and SOPs periodically with the changing regulatory environment.Worked closely with FINRA Examiners and SEC Regulators to update filing applicability of disclosures required and was able to incorporate a new filing and review logic that reduced filings under regulation 4530 (a)(1)(B) by 91% quarter over quarter.Prepared and submitted quarterly FINRA 4530(d) summary report.Prepared and submitted all filings and disclosures needed through state agencies regarding abuse of vulnerable investors.Maintained and filed all appropriate legal case updates with necessary jurisdictions as deemed necessary.Built controls, provided metrics and analyzed data trends.