Robinhood
Senior Underwriting Associate
$116K–$175K
Chicago, IL +6 · Senior · Full-time · Posted Jun 8, 2026
- Location
- Chicago, IL
Denver, CO
Lake Mary, FL
New York, NY
Chicago, IL
Menlo Park, CA
New York, NY - Experience
- 4–7 years; in equity underwriting operations, investment banking compliance, or capital markets.
About the job
Oversee firm-commitment equity underwriting and retail distribution of new issues, managing deal execution, supervisory controls, compliance, and regulatory engagement from due diligence through settlement.
What you'll do
- Act as a delegate principal under FINRA Rule 3110, maintain Written Supervisory Procedures, and approve key offering stages.
- Supervise new-issue distribution and oversee underwriting execution, including deal allocations, communications, syndicate activity, and settlement.
- Partner with Compliance, Finance, and Operations on reporting, regulatory filings, and review readiness; advise on the underwriting operations stack.
What they ask for
- FINRA Series 79 license.
- 4–7 years of experience in equity underwriting operations, investment banking compliance, or capital markets.
- Practical knowledge of FINRA Rules 5110, 5130, 5131, and 3110.
- Experience supervising retail distribution of new issues or selling-group activity, or equivalent exposure to allocation governance and communications supervision; strong compliance operations, reporting, and supervisory program management experience.
Nice to have
- FINRA Series 24 license.
Pay
$149,000 — $175,000 USD (base salary); $131,000 — $154,000 USD (base salary); $116,000 — $137,000 USD (base salary)
Tools
FINRA Rule 3110, FINRA Rules 5130 and 5131, FINRA Rule 5110
AI focus
Robinhood uses AI tools to support parts of its recruiting process; hiring decisions are made by hiring teams.
Model-written summary · the original posting is authoritative