About the Role
You guide deal execution from due diligence through pricing allocation and settlement on the underwriting side. You ensure all activity meets regulatory and internal standards across both sides of the deal. You partner with Compliance, Finance, and Trading Operations to support successful execution while maintaining strong supervisory practices. This role is based in our Chicago IL, Denver CO, Lake Mary FL, or New York NY offices with in person attendance expected at least 5 days per week.
Requirements
- You hold FINRA Series 24 and Series 79 licenses.
- You have 4 to 7 years of experience in equity underwriting operations, investment banking compliance, or capital markets.
- You demonstrate knowledge of FINRA Rules 5110 5130 5131 and 3110 in practical application.
- You have experience supervising retail distribution of new issues or selling group activity or equivalent exposure to allocation governance and communications supervision.
- You bring strong experience in compliance operations, reporting, and supervisory program management.
Responsibilities
- You serve as a delegate principal under FINRA Rule 3110, maintaining Written Supervisory Procedures and approving key stages of each offering.
- You supervise 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.
- You are the subject-matter expert for the selection, build, or buy decision on the firm's underwriting operations stack.
- You oversee the operational execution of firm commitment underwriting from due diligence through settlement, including syndicate activity and co manager arrangements.
- You partner with Compliance, Finance, and Operations to ensure accurate reporting, regulatory filings, and readiness for review.
Benefits
- Health insurance for employees with 90 percent coverage for dependents
- Fertility benefits
- Mental health benefits
- Time off including holidays paid time off sick time parental leave
- Lifestyle wallet flexible benefits spending account
- Employer paid life and disability insurance
- 401(k) matching
- Equity opportunities and bonus programs
- Catered meals and company events
- Comfortable workspaces