Norman Ashkenas

Norm Ashkenas is Chief Compliance Officer for Robinhood Markets, overseeing compliance for all Robinhood’s businesses. He joined in 2020, initially as CCO for RHF, Robinhood’s retail brokerage. Prior to Robinhood, he spent 17 years with Fidelity Investments in compliance leadership roles, most recently as SVP and Head of Compliance for Fl and FBT, and CCO for NFS and FDC, Fidelity’s clearing, custody, intermediary, capital markets and brokerage technology divisions. He was also CCO of FBS, Fidelity’s retail, wealth management, insurance, and retirement business, CCO for FPWA, and Fidelity Personal Trust. Prior to Fidelity, Mr. Ashkenas spent 10 years with Prudential Securities Inc. as SVP for Regulatory & Compliance Examinations and VP/Associate GC, starting his career as a litigation attorney with Chemical Bank. He is an FSDA Board member, former Chair and Vice-Chair of the FINRA NAC, has served on the FINRA Large Firm, Membership, District 11 and Regulatory Advisory Committees, and is a former Chair of the National Society of Compliance Professionals. Mr. Ashkenas has spoken at industry conferences including FINRA Annual & Regional Conferences, SIFMA C&L Division Seminars, NSCP Seminars, and FSDA events. He earned a BA from Northwestern University and a JD from Fordham, and holds FINRA Series 7, 14, 24 & 63.