Senior Underwriting Associate

The role

This person will serve as the firm's registered representative for firm-commitment underwriting and retail distribution. They will oversee deal execution from due diligence through settlement and ensure compliance with regulatory standards.

What you will do

• Serve as a delegate principal under FINRA Rule 3110
• Maintain Written Supervisory Procedures and approve key stages of each offering
• Assist with supervising the firm's participation as a distribution participant on new-issue offerings
• Serve as subject-matter expert for the selection, build, or buy decision on the firm's underwriting operations stack
• Oversee operational execution of firm-commitment underwriting from due diligence through settlement
• Partner with Compliance, Finance, and Operations to ensure accurate reporting, regulatory filings, and readiness for review

Required qualifications

• FINRA Series 79 licenses
• 4–7 years of experience in equity underwriting operations, investment banking compliance, or capital markets
• Knowledge of FINRA Rules 5110, 5130, 5131, and 3110 in practical application
• Experience supervising retail distribution of new issues or selling-group activity or equivalent exposure to allocation governance and communications supervision
• Strong experience in compliance operations, reporting, and supervisory program management

Nice to have

• Series 24 strong preferred

Benefits

• Performance-driven compensation with multipliers for outsized impact
• Bonus programs
• Equity ownership
• 401(k) matching
• 100% paid health insurance for employees with 90% coverage for dependents
• Lifestyle wallet for wellness, learning, and more
• Employer-paid life & disability insurance
• Fertility benefits
• Mental health benefits
• Company holidays
• Paid time off
• Sick time

About the company

Robinhood is building out its firm-commitment underwriting capability to manage and co-manage IPOs and follow-on equity offerings. Their mission is to democratize finance for all.