Underwriting Operations Lead
Robinhood helps users invest in stocks, ETFs, options, and cryptocurrencies through commission-free trading with no minimum account requirements.
Funding history
Investors
Projects
About Robinhood
Robinhood helps retail investors access financial markets through commission-free trading of stocks, ETFs, options, and cryptocurrencies. With it, users can invest with no account minimums, earn rewards through retirement accounts with matching contributions, and access advanced trading tools. Robinhood democratizes investing by making financial markets accessible to everyone, not just wealthy investors.
Skills
Candidate Availability
Required and preferred rules are kept separate and reflect the wording in the original posting.
About the Role
Lead firm-commitment underwriting operations across due diligence, pricing, allocation, settlement, distribution, compliance controls, and regulatory engagement. The role is based in Chicago, Denver, Lake Mary, or New York, with in-person attendance expected at least five days per week.
Requirements
- FINRA Series 24 and Series 79 licenses.
- 4 to 7 years of experience in equity underwriting operations, investment banking compliance, or capital markets.
- Practical knowledge of FINRA Rules 5110, 5130, 5131, and 3110.
- Experience supervising retail distribution of new issues or selling-group activity, or equivalent allocation governance and communications supervision experience.
- Strong experience in compliance operations, reporting, and supervisory program management.
Responsibilities
- Serve as a delegate principal under FINRA Rule 3110, maintaining Written Supervisory Procedures and approving key offering stages.
- Supervise participation in new-issue offerings, including allocation methodology, communications standards, and fair-dealing practices under FINRA Rules 5130 and 5131.
- Serve as subject-matter expert for selection, build, or buy decisions for the underwriting operations stack.
- Oversee firm-commitment underwriting execution from due diligence through settlement, including syndicate activity and co-manager arrangements.
- Partner with Compliance, Finance, and Operations on reporting, regulatory filings, and review readiness.
Benefits
- Health insurance with 90 percent coverage for dependents
- Fertility benefits
- Mental health benefits
- Paid holidays, time off, sick time, and parental leave
- Lifestyle wallet flexible benefits spending account
- Employer-paid life and disability insurance
- 401(k) matching
- Bonus programs and equity opportunities
- Catered meals and company events
- Comfortable workspaces
