The opportunity
Our mission is to democratize finance for all. An estimated $124 trillion of assets will be inherited by younger generations in the next two decades.
What you'll do
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
