Norm Ashkenas

Norm Ashkenas is Chief Compliance Officer for Robinhood Markets, overseeing compliance
and ethics for all Robinhood’s global 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 a FSDA Board member, serves on the FINRA Membership and Statutory
Disqualification Committees, as well as the SIFMA C&L Executive Committee. Mr. Ashkenas is
former Chair and Vice-Chair of the FINRA NAC, has served on the FINRA Large Firm, District
11 and Regulatory Advisory Committees, and is a former Chair of the National Society of
Compliance Professionals. Mr. Ashkenas is a frequent speaker at industry conferences
including FINRA Annual & Regional Conferences, SIFMA C&L Division Seminars, NSCP
Seminars, and FSDA events, and has conducted guest lectures for graduate and undergraduate students. He earned a BA from Northwestern University and a JD from Fordham, and holds FINRA Series 7, 14 & 24.