Senior Underwriting Associate
robinhood · Chicago, IL; Denver, CO; Lake Mary, FL; New York, NY
- Posted
- 8 days ago
- Last confirmed live
- Today
What this role involves
The Senior Underwriting Associate at Robinhood oversees firm-commitment underwriting and distribution of new issues, ensuring compliance with FINRA rules. The role involves supervising operational execution from due diligence to settlement and partnering with compliance, finance, and trading operations. Requires FINRA Series 79 license and 4-7 years experience in equity underwriting or capital markets.
Skills this posting asks for
- finra series 79
- finra series 24
- equity underwriting
- investment banking compliance
- capital markets
- finra rule 5110
- finra rule 5130
- finra rule 5131
- finra rule 3110
- retail distribution
- allocation governance
- communications supervision
- compliance operations
- reporting
- supervisory program management
Requirements
- 4 years of experience
- Level: senior
- Remote policy: onsite
From the employer’s posting
Join us in building the future of finance. Our mission is to democratize finance for all. An estimated $124 trillion of asset…
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