Overview Join Robinhood to help build and oversee the firm-commitment underwriting capability and retail distribution for IPOs and follow-ons. You will manage end-to-end deal lifecycle, ensure regulatory and internal standards, and collaborate with Compliance, Finance, and Operations. You'll guide execution from due diligence to settlement and supervise supervisory controls. This is a high-impact, cross-functional role at a fast-growing fintech that values ethics, performance, and in-person collaboration.
Compensation / Benefits- 100% paid health insurance for employees
- 90% coverage for dependents
- bonus programs and equity ownership
- 401(k) matching
- Lifestyle wallet for wellness and learning
- fertility benefits and mental health benefits
Responsibilities- Delegate principal under FINRA Rule 3110 and approve key stages of each offering
- Supervise distribution participation on new-issue offerings, including allocation methodology and fair-dealing practices under FINRA Rules 5130 and 5131
- Serve as subject-matter expert for underwriting operations stack decisions (build or buy)
- 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 for accurate reporting and regulatory filings readiness
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 practice
- Experience supervising retail distribution of new issues or equivalent exposure to allocation governance and communications supervision
- Experience in compliance operations, reporting, and supervisory program management
- FINRA Rules 5110, 5130, 5131, 3110
- Experience supervising distribution of new issues and allocation governance
- Compliance operations, reporting, and supervisory program management
