Institutional Equity Sales

Roth Capital Partners; New York (NY); On-site; USD 120,000 - 300,000; Full time

Job summary

Roth Capital Partners, LLC seeks an Institutional Equity Sales Professional to build and maintain relationships with hedge funds, family offices, and other asset managers. The role covers equity research, corporate access, and capital markets transactions, with a high degree of autonomy.

This senior position requires 5–10+ years of institutional equity sales, a portable client book, Series 7 and 63 licenses, and strong collaboration with research, sales-trading, and capital markets teams.

Qualifications

• 5-10+ years of institutional equity sales experience at a bulge bracket, middle-market, or boutique firm.
• Established, portable book of institutional investor relationships with a track record of commission generation.
• Bachelor's degree required.
• Active Series 7 and Series 63 licenses required (or ability to obtain promptly).
• Clean U.S. regulatory record (FINRA BrokerCheck).

Responsibilities

• Originate, develop, and manage relationships with institutional investor accounts across the buy side.
• Meet or exceed individual commission and revenue targets while managing account profitability and client servicing costs.
• Market & distribute equity research, corporate access events and desk strategists' events; distribute and cross-sell transactions to institutional accounts.
• Partner with research analysts, sales-trading, capital markets, and corporate access teams for coordinated client coverage.
• Maintain knowledge of covered sectors and portfolio manager priorities while ensuring regulatory compliance.

Skills

Series 7 license

Series 63 license

Institutional equity sales

Relationship management

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 an Institutional Equity Sales Professional to our team. The Institutional Sales Professional is a senior, revenue-generating role responsible for building and maintaining relationships with our clients (hedge funds, family offices, mutual/pension funds & other asset managers). This role will be generalist coverage, representing the full breadth of Roth’s institutional capabilities, including equity research, corporate access, capital markets transactions (IPOs, follow-ons, blocks), and trade execution. This is a senior role, requiring individual contribution and self-driven operations, with a high degree of autonomy, commercial judgment, and cross-desk collaboration.

This position may be based out of any of our U.S. Offices.

Responsibilities include (but are not limited to):

• Originate, develop, and manage relationships with institutional investor accounts across the buy side.
• Meet or exceed individual commission and revenue targets while managing account profitability and client servicing costs.
• Market & distribute the firm’s equity research, corporate access events and desk strategists event driven and macro commentary. Distribute and cross-sell equity capital markets transactions; IPOs, follow-on offerings, blocks, and secondary offerings to institutional accounts.
• Partner closely with research analysts, sales-trading, capital markets, and corporate access teams to ensure coordinated, high-quality client coverage.
• Maintain a deep working knowledge of covered sectors, market conditions, and portfolio manager/analyst priorities across accounts.
• Maintain compliance with all regulatory requirements (FINRA, SEC) and internal policies governing institutional sales conduct, including information barriers and research distribution rules.
• Represent the firm at industry conferences, non-deal roadshows, and client events.

Skills and Attributes:

• Strong knowledge of equity markets, capital markets products, and sector fundamentals across a broad range of industries.
• Excellent relationship management, negotiation, and communication skills, with the executive presence to engage senior portfolio managers and C-suite corporate clients.
• Demonstrated ability to work collaboratively across research, salestrading, and capital markets desks.

Qualifications:

• 5-10+ years of institutional equity sales experience at a bulge bracket, middle-market, or boutique investment bank.
• Established, portable book of institutional investor relationships with a demonstrated track record of commission generation.
• Bachelor's degree required.
• Active Series 7 and Series 63 licenses required (or ability to obtain promptly).
• 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.