Underwriting Operations Lead

📋 Description

• Oversee underwriting operations and regulatory compliance across offerings.
• Collaborate with Compliance, Finance, and Trading Ops for execution.
• Lead end-to-end underwriting from due diligence to settlement.
• Ensure activity meets FINRA rules and internal standards.
• Based in Chicago, IL or New York, NY with in-person attendance 5 days/week.

🎯 Requirements

• FINRA Series 24 and Series 79 licenses.
• 4–7 years in equity underwriting, compliance, or capital markets.
• Knowledge of FINRA Rules 5110, 5130, 5131, 3110.
• Experience supervising retail distribution or allocation governance.
• Strong background in compliance, reporting, and supervisory programs.

🎁 Benefits

• Challenging, high-impact work to grow your career.
• Performance-based comp with bonuses, equity, and 401(k) matching.
• 100% paid health insurance for you; 90% for dependents.
• Lifestyle wallet for wellness and learning.
• Employer-paid life, disability, fertility, and mental health benefits.
• Generous time off: holidays, PTO, sick time, parental leave.