Senior IPO Underwriting Operations Lead

Rainfallcap; Colorado; On-site; USD 131,000 - 154,000; Full time

Benefits offered by this job

100% paid health insurance for employees

401(k) matching

Flexible benefits spending account

Employer-paid life and disability insurance

Wellness and learning benefits

Job summary

Rainfallcap is seeking an experienced candidate for a crucial role in equity underwriting operations. You will oversee firm-commitment underwriting, ensuring compliance and operational success from due diligence to settlement.

Your expertise in FINRA regulations and prior experience in investment banking will be pivotal. This position demands strong collaboration with compliance and operational teams while aiming for high rewards in a performance-driven culture.

Qualifications

• 4–7 years of experience in equity underwriting operations, investment banking compliance, or capital markets.
• Knowledge of FINRA Rules 5110, 5130, 5131, and 3110.
• Experience supervising retail distribution of new issues.

Responsibilities

• Serve as a delegate principal under FINRA Rule 3110.
• Assist with supervising new-issue offerings and allocation methodology.
• Oversee operational execution of firm-commitment underwriting.
• Partner with Compliance, Finance, and Operations for reporting.

Skills

FINRA Series 24 license

FINRA Series 79 license

Equity underwriting operations experience

Investment banking compliance knowledge

Capital markets understanding

Education

Bachelor's degree or equivalent

Job description

Rainfallcap is seeking an experienced candidate for a crucial role in equity underwriting operations. You will oversee firm-commitment underwriting, ensuring compliance and operational success from due diligence to settlement.

Your expertise in FINRA regulations and prior experience in investment banking will be pivotal. This position demands strong collaboration with compliance and operational teams while aiming for high rewards in a performance-driven culture.