Underwriting Operations Lead (Fintech)

TL;DR

Underwriting Operations Lead (Fintech): Overseeing firm-commitment underwriting activity and retail distribution of new issues with an accent on regulatory compliance, deal execution, and operational stack management. Focus on maintaining FINRA supervisory standards, managing the end-to-end lifecycle of equity offerings, and partnering with cross-functional teams to ensure accurate reporting and regulatory readiness.

Location: Must be based in Chicago, IL, or New York, NY, with 5 days per week in-office attendance required.

Salary: $116,000 – $175,000 USD (depending on location zone).

Company

A mission-driven fintech company democratizing finance through innovative technology and accessible investment platforms.

What you will do

• Serve as a delegate principal under FINRA Rule 3110, maintaining Written Supervisory Procedures.
• Oversee operational execution of firm-commitment underwriting from due diligence through settlement.
• Supervise participation in new-issue offerings, ensuring adherence to FINRA Rules 5130 and 5131.
• Act as a subject-matter expert for the firm's underwriting operations technology stack.
• Partner with Compliance, Finance, and Trading Operations to support deal execution and regulatory filings.

Requirements

• Must hold active FINRA Series 24 and Series 79 licenses.
• 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.
• Strong background in compliance operations, reporting, and supervisory program management.

Culture & Benefits

• Performance-driven compensation including bonuses and equity ownership.
• 100% paid health insurance for employees and 90% for dependents.
• Flexible lifestyle wallet for wellness and learning expenses.
• Comprehensive life, disability, fertility, and mental health benefits.
• Generous time off including company holidays, sick leave, and parental leave.