Senior Underwriting Associate

Robinhood
Chicago, Menlo Park, New York
Workplace: OnsiteFull timeFunction: Business OperationsExperience: 4-7 yearsSkills: ["Regulatory compliance","Communication","Leadership","Problem-solving","Stakeholder management"]

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.

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Robinhood
Robinhood
2 months ago

Senior Underwriting Associate

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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
WebsiteLinkedIn