Sales Trader

Roth Capital Partners; New York (NY); On-site; USD 180,000 - 320,000; Full time

Job summary

Roth Capital Partners, LLC is seeking an experienced Sales Trader to serve institutional clients and bridge the gap between sales and trading desks. The role focuses on translating client orders into executed trades while providing market color, liquidity insight, and strategic execution recommendations.

The position may be based out of any U.S. office and requires 5+ years of equity sales trading experience, active FINRA licenses, and a clean regulatory record.

Qualifications

• 5+ years of equity sales trading experience at an investment bank or institutional trading desk.
• Active Series 7 and Series 63 licenses required; Series 57 (equity trader) a plus.
• Established relationships with institutional buy-side traders.
• Clean U.S. regulatory record (FINRA BrokerCheck).

Responsibilities

• Receive, work, and manage institutional client orders across cash equities.
• Provide clients with real-time market color, liquidity assessments, and trade strategy recommendations.
• Market and cross sell Roth’s full service platform, including fundamental and technical research, derivatives, event-driven strategies, and the Quantitative Survey Group.
• Facilitate blocks in coordination with the trading desk and capital markets.
• Maintain strong relationships with buy-side traders and portfolio managers as a trusted execution contact.
• Ensure full compliance with FINRA/SEC regulations and internal policies governing trading conduct and order handling.
• Partner with compliance, operations, and technology teams to resolve trade breaks and system needs.

Skills

Equity trading

Communication under pressure

Algorithmic trading

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 experienced Sales Trader to our team. The Sales Trader serves as the primary point of contact for the firm's institutional client base, working alongside institutional sales to deliver market commentary and market the firm’s institutional brokerage services. This role sits at the intersection of the sales and trading desks, translating client orders into executed trades while providing real-time market color, liquidity insight, and trading strategy to institutional accounts. The Sales Trader is expected to build durable client trust through responsiveness and market expertise. This position may be based out of any of our U.S. Offices.

Responsibilities

• Receive, work, and manage institutional client orders across cash equities, ensuring client’s instructions are fulfilled consistent with firm policy and regulatory requirements.
• Provide clients with real-time market color, liquidity assessments, and trade strategy recommendations (e.g., algo selection, block facilitation, VWAP/POV strategies).
• Market and cross sell Roth’s full service platform, including fundamental research, technical research, derivatives, event driven, capital markets and Quantative Survey Group.
• Facilitate blocks in coordination with the trading desk and capital markets as needed.
• Maintain strong working relationships with buy-side traders and portfolio managers, acting as a trusted point of contact for execution-related needs.
• Ensure full compliance with FINRA/SEC regulations, exchange rules, and internal policies governing trading conduct, information barriers, and order handling.
• Partner with compliance, operations, and technology teams to resolve trade breaks, settlement issues, and system needs.

Skills and Attributes

• Strong working knowledge of equity market structure, order types, algorithmic trading strategies, and execution venues.
• Excellent communication skills and the ability to perform effectively under pressure in a fast-paced, real-time environment.

Qualifications

• 5+ years of equity sales trading experience at an investment bank, broker-dealer, or institutional trading desk.
• Active Series 7 and Series 63 licenses required; Series 57 (equity trader) a plus.
• Established relationships with institutional buy-side trading.
• Bachelor's degree required.
• Clean U.S. regulatory record (FINRA BrokerCheck).

Compensation

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.