Derivatives Sales Trader

Roth Capital Partners; New York (NY); On-site; USD 180,000 - 350,000; Full time

Job summary

Roth Capital Partners, LLC seeks a flow Derivatives Sales Trader to structure, price, and execute listed US options strategies for institutional clients. The role blends client-facing sales with trading expertise, requiring collaboration with the derivatives trading desk and institutional sales coverage.

The candidate should have strong quantitative fluency, relationship-building skills, and be able to advise sophisticated counterparties. This position may be based at any U.S. office.

Qualifications

• 5-10+ years of derivative sales, sales trading, or trading experience.
• Active Series 7 and Series 63 licenses required; Series 57 and/or Series 3 a plus.
• Established relationships with institutional derivative desks and hedge funds.
• Clean U.S. regulatory record (FINRA BrokerCheck).

Responsibilities

• Structure, price, and manage listed equity derivative trades for institutional clients.
• Provide clients with trade ideas, hedging strategies, and market color across options markets.
• Partner with institutional equity sales to identify derivative-related opportunities.
• Collaborate with traders and research to identify catalysts for option ideas.
• Market the firm’s Catalyst Single Stock Product from the derivatives desk strategist.
• Maintain familiarity with options market structure, volatility, and pricing models for client advisory.
• Ensure compliance with FINRA, SEC, CFTC and internal risk policies.

Skills

Strong quantitative skills in options

Excellent client-management skills

Education

Bachelor's degree

Job description

Roth Capital Partners, LLC is a relationship-driven investment bank focused on serving growth companies and their investors. In addition to capital markets and M&A advisory services, our full-service platform provides a variety of capital markets solutions, including high impact equity research, macroeconomic perspectives, institutional sales and trading, technical insights, derivatives strategies and corporate access. Headquartered in Newport Beach, California, Roth is a privately held, employee-owned organization and maintains offices throughout the U.S.

Roth is looking to add a flow Derivatives Sales Trader to our team, responsible for structuring and pricing, and executing listed US options strategies for institutional clients. This role combines client-facing sales responsibility with trading and risk expertise, requiring close collaboration with the derivatives trading desk and institutional sales coverage. The successful candidate will bring strong quantitative fluency alongside the relationship and communication skills needed to advise sophisticated institutional counterparties. This position may be based out of any of our U.S. Offices.

Responsibilities

• Structure, price, and manage listed equity derivative trades (single stock, ETF, index options) on behalf of institutional clients.
• Provide clients with trade ideas, hedging strategies, and market color across volatility, correlation, and equity derivative markets.
• Partner with institutional equity sales to identify and develop derivative-related opportunities within existing client relationships.
• Work with institutional equity sales and research analysts to identify catalysts for listed option trade ideas
• Market the firm's current “Catalyst Single Stock Product” produced by firm's derivative desk strategist
• Maintain deep familiarity with options market structure, volatility surfaces, and derivative pricing models to advise clients effectively.
• Ensure all derivative transactions comply with applicable regulatory requirements (FINRA, SEC, CFTC where applicable) and internal risk and suitability policies.
• Build and maintain relationships with institutional derivative desks, hedge funds, and other sophisticated counterparties.

Skills and Attributes

• Strong quantitative skills with fluency in options pricing, volatility, and risk (Greeks) concepts
• Excellent communication and client-management skills, with the ability to explain complex derivative strategies clearly to sophisticated investors.

Qualifications

• 5-10+ years of derivative sales, sales trading, or trading experience, with a strong foundation in equity derivatives and options.
• Active Series 7 and Series 63 licenses required; Series 57 and/or relevant derivatives licensure (e.g., Series 3) a plus.
• Established relationships with institutional derivative trading desks and hedge funds.
• Bachelor's degree required
• Clean U.S. regulatory record (FINRA BrokerCheck).

Compensation: This position is commission-based. Total compensation, including commission and any discretionary bonus, will vary based on experience, portable book of business, and individual production.