Senior Underwriting Associate
Core
Managing and co-managing IPOs and follow-on equity offerings, overseeing firm-commitment underwriting activity and distribution to retail customers.
Role type
Senior Underwriting Associate (Equity Capital Markets)
Builds
Firm-commitment underwriting deals and retail distribution channels
Domain
Financial Services / Equity Capital Markets
Required skills
FINRA Series 79 license, equity underwriting operations, investment banking compliance, FINRA Rules 5110/5130/5131/3110, supervisory program management, syndicate activity, regulatory filings
Preferred skills
FINRA Series 24 license, experience supervising retail distribution or selling-group activity
Technologies
Underwriting operations stack
Responsibilities
Serve as delegate principal under FINRA Rule 3110, assist with supervising distribution participation, oversee operational execution from due diligence through settlement, partner with Compliance and Finance for reporting and regulatory readiness
Seniority
Senior, hands-on IC