Senior Equity Underwriting & Deal Execution

Robinhood; Bellevue (WA); On-site; USD 149,000 - 175,000; Full time

Benefits offered by this job

Performance-driven compensation

Equity ownership

100% paid health insurance

Flexible benefits wallet

Life & disability insurance

Fertility benefits

Mental health benefits

Paid time off & holidays

Catered meals & office events

Job summary

Robinhood is seeking a role focused on firm-commitment underwriting and distribution oversight for new issues, partnering with Compliance, Finance, and Trading Operations to ensure compliant execution of deals. The position requires FINRA licenses and deep experience in equity underwriting and capital markets.

The role involves supervising retail distribution, managing allocation governance, and ensuring regulatory readiness across end-to-end deal lifecycle while based in multiple major offices,

Qualifications

• Licenses required: FINRA Series 79 (Series 24 strong preferred).
• 4–7 years in equity underwriting operations, investment banking compliance, or capital markets.
• Knowledge of FINRA Rules 5110, 5130, 5131, and 3110 in practice.
• Experience supervising retail distribution of new issues or selling-group activity.

Responsibilities

• Serve as delegate principal under FINRA Rule 3110 and approve key stages of offerings.
• Assist supervising distribution participation on new-issue offerings including allocation methodology and fair-dealing practices under FINRA Rules 5130/5131.
• Serve as subject‑matter expert for underwriting operations stack decisions.
• Oversee underwriting execution from due diligence through settlement and co-manager arrangements.
• Partner with Compliance, Finance, and Operations to ensure accurate reporting and regulatory filings.

Skills

FINRA Series 79 licenses

Experience 4–7 years

FINRA Rules 5110/5130/5131/3110

Retail distribution supervision

Supervisory program management

Job description

Robinhood is seeking a role focused on firm-commitment underwriting and distribution oversight for new issues, partnering with Compliance, Finance, and Trading Operations to ensure compliant execution of deals. The position requires FINRA licenses and deep experience in equity underwriting and capital markets.

The role involves supervising retail distribution, managing allocation governance, and ensuring regulatory readiness across end-to-end deal lifecycle while based in multiple major offices,