Robinhood

1 month ago

Senior Underwriting Associate

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 6 hours agoStatus: Live

Job Summary

Lead and oversee the firm-commitment underwriting operations lifecycle, ensuring regulatory compliance, accurate reporting, and effective supervision of distribution for new-issues while coordinating with Compliance, Finance and Operations across Chicago or New York offices.

Location: Chicago, Menlo Park, New York

Workplace: Onsite

Employment Type: Full time

Job Function: Business Operations

Seniority: Sr. Manager level

Key Responsibilities

•Serve as a delegate principal under FINRA Rule 3110, maintaining Written Supervisory Procedures and approving key stages of each offering
•Assist with supervising the firm's participation as a distribution participant on new-issue offerings, including allocation methodology, communications standards, and fair-dealing practices under FINRA Rules 5130 and 5131
•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, including syndicate activity and co-manager arrangements
•Partner with Compliance, Finance, and Operations to ensure accurate reporting, regulatory filings, and readiness for review

Pay and Benefits

Perks:Health Insurance401kEquityAnnual BonusTime Off

Key Requirements

•FINRA Series 24 and 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

Experience:4-7 yearsCapital marketsEquity underwritingComplianceRegulatory reporting

Skills:Regulatory complianceCommunicationLeadershipProblem-solvingStakeholder management

Certifications:FINRA Series 24FINRA Series 79

Languages:English

Company Brief

Robinhood

Commission-free trading platform offering stocks, ETFs, options, and cryptocurrencies, plus cash management and retirement products. Aims to democratize finance through easy-to-use mobile and web apps for retail investors.

Industry: Trading Platforms

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Menlo Park, United States

Founded: 2013

Website LinkedIn

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Robinhood

1 month ago

Senior Underwriting Associate

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 6 hours agoStatus: Live

Job Summary

Location: Chicago, Menlo Park, New York

Workplace: Onsite

Employment Type: Full time

Job Function: Business Operations

Seniority: Sr. Manager level

Key Responsibilities

•Serve as a delegate principal under FINRA Rule 3110, maintaining Written Supervisory Procedures and approving key stages of each offering
•Assist with supervising the firm's participation as a distribution participant on new-issue offerings, including allocation methodology, communications standards, and fair-dealing practices under FINRA Rules 5130 and 5131
•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, including syndicate activity and co-manager arrangements
•Partner with Compliance, Finance, and Operations to ensure accurate reporting, regulatory filings, and readiness for review

Pay and Benefits

Perks:Health Insurance401kEquityAnnual BonusTime Off

Key Requirements

•FINRA Series 24 and 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

Experience:4-7 yearsCapital marketsEquity underwritingComplianceRegulatory reporting

Skills:Regulatory complianceCommunicationLeadershipProblem-solvingStakeholder management

Certifications:FINRA Series 24FINRA Series 79

Languages:English

Company Brief

Robinhood

Industry: Trading Platforms

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Menlo Park, United States

Founded: 2013

Website LinkedIn