Robinhood Senior Underwriting Associate at Robinhood oversees firm-commitment underwriting and distribution of new issues, ensuring compliance and regulatory engagement. Partners with Compliance, Finance, and Operations teams.
Responsibilities
This role is based in our Chicago, IL, Denver, CO, Lake Mary, FL, or New York, NY office(s), with in-person attendance expected at least 5 days per week.
At Robinhood, we believe in the power of in-person work to accelerate progress, spark innovation, and strengthen community. Our office experience is intentional, energizing, and designed to fully support high-performing teams.
Serve as a delegate principal under FINRA Rule 3110, maintaining Written Supervisory Procedures and approving key stages of each offering
Assist with supervising the firm's participation as a distribution participant on new-issue offerings, including allocation methodology, communications standards, and fair-dealing practices under FINRA Rules 5130 and 5131
Serve as subject-matter expert for the selection, build, or buy decision on the firm's underwriting operations stack
Oversee operational execution of firm-commitment underwriting from due diligence through settlement, including syndicate activity and co-manager arrangements
Partner with Compliance, Finance, and Operations to ensure accurate reporting, regulatory filings, and readiness for review
You hold FINRA Series 79 licenses (Series 24 strong preferred as well)
You have 4–7 years of experience in equity underwriting operations, investment banking compliance, or capital markets
You demonstrate knowledge of FINRA Rules 5110, 5130, 5131, and 3110 in practical application
You have experience supervising retail distribution of new issues or selling-group activity — or equivalent exposure to allocation governance and communications supervision
You bring strong experience in compliance operations, reporting, and supervisory program management
Qualification
FINRA Series 79 licenseSeries 24 license strongly preferred
