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Senior Underwriting Associate

Robinhood· Brokerage Operations - RHF
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Hybrid (Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY)$116k - $175k + equity + bonusfull-timePosted 4mo ago

About the role

Role focused on overseeing firm-commitment underwriting and distribution of new issues, serving as the firm’s registered representative across underwriting and distribution functions, with in-depth regulatory, compliance, and supervisory responsibilities throughout the deal lifecycle.

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

Qualifications

  • FINRA Series 79 licenses (Series 24 strong preferred)
  • 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

Skills

Required:FINRA Rule knowledgeUnderwriting operations supervision

Benefits

  • Performance-driven compensation with multipliers for outsized impact, bonus programs, equity ownership, and 401(k) matching
  • 100% paid health insurance for employees with 90% coverage for dependents
  • Lifestyle wallet — a flexible benefits spending account for wellness, learning, and more
  • Employer-paid life & disability insurance, fertility benefits, and mental health benefits
  • Paid time off including company holidays, paid time off, sick time, parental leave, and more
  • Exceptional office experience with catered meals, events, and comfortable workspaces
Last updated Sep 30, 2026. Interested? Apply on the company site.

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