Roth Capital Partners

Investment banking and capital markets services

Derivatives Sales Trader

Sales & TradingConfirmed live in the last 24 hours

Full-timeUnited States

About the Job

Requirements

Bring strong quantitative fluency and the relationship and communication skills needed to advise sophisticated institutional counterparties.
Have strong quantitative skills and fluency in options pricing, volatility, and risk (Greeks) concepts.
Have excellent communication and client-management skills, including the ability to explain complex derivative strategies clearly to sophisticated investors.
Have 5–10+ years of derivative sales, sales trading, or trading experience, with a strong foundation in equity derivatives and options.
Hold active Series 7 and Series 63 licenses.
Have established relationships with institutional derivative trading desks and hedge funds.
Hold a bachelor's degree.
Have a clean U.S. regulatory record (FINRA BrokerCheck).

Responsibilities

Structure, price, and manage listed equity derivative trades (single stock, ETF, and index options) on behalf of institutional clients.
Provide clients with trade ideas, hedging strategies, and market color across volatility, correlation, and equity derivative markets.
Partner with institutional equity sales to identify and develop derivative-related opportunities within existing client relationships.
Work with institutional equity sales and research analysts to identify catalysts for listed option trade ideas.
Market the firm's current Catalyst Single Stock Product produced by the firm's derivative desk strategist.
Maintain deep familiarity with options market structure, volatility surfaces, and derivative pricing models to advise clients effectively.
Ensure all derivative transactions comply with applicable regulatory requirements (FINRA, SEC, and CFTC where applicable) and internal risk and suitability policies.
Build and maintain relationships with institutional derivative desks, hedge funds, and other sophisticated counterparties.

Desired Qualifications

Series 57 and/or relevant derivatives licensure, such as Series 3.

Roth Capital Partners, LLC is a relationship-driven investment bank focused on serving growth companies and their investors. In addition to capital markets and M&A advisory services, our full-service platform provides a variety of capital markets solutions, including high impact equity research, macroeconomic perspectives, institutional sales and trading, technical insights, derivatives strategies and corporate access. Headquartered in Newport Beach, California, Roth is a privately held, employee-owned organization and maintains offices throughout the U.S.

Roth is looking to add a flow Derivatives Sales Trader to our team, responsible for structuring and pricing, and executing listed US options strategies for institutional clients. This role combines client-facing sales responsibility with trading and risk expertise, requiring close collaboration with the derivatives trading desk and institutional sales coverage. The successful candidate will bring strong quantitative fluency alongside the relationship and communication skills needed to advise sophisticated institutional counterparties. This position may be based out of any of our U.S. Offices.

Responsibilities include (but are not limited to):

Structure, price, and manage listed equity derivative trades (single stock, ETF, index options) on behalf of institutional clients.
Provide clients with trade ideas, hedging strategies, and market color across volatility, correlation, and equity derivative markets.
Partner with institutional equity sales to identify and develop derivative-related opportunities within existing client relationships.
Work with institutional equity sales and research analysts to identify catalysts for listed option trade ideas
Market the firms current “Catalyst Single Stock Product” produced by firms derivative desk strategist
Maintain deep familiarity with options market structure, volatility surfaces, and derivative pricing models to advise clients effectively.
Ensure all derivative transactions comply with applicable regulatory requirements (FINRA, SEC, CFTC where applicable) and internal risk and suitability policies.
Build and maintain relationships with institutional derivative desks, hedge funds, and other sophisticated counterparties.

Skills and Attributes:

Strong quantitative skills with fluency in options pricing, volatility, and risk (Greeks) concepts
Excellent communication and client-management skills, with the ability to explain complex derivative strategies clearly to sophisticated investors.

Qualifications:

5-10+ years of derivative sales, sales trading, or trading experience, with a strong foundation in equity derivatives and options.
Active Series 7 and Series 63 licenses required; Series 57 and/or relevant derivatives licensure (e.g., Series 3) a plus.
Established relationships with institutional derivative trading desks and hedge funds.
Bachelor's degree required
Clean U.S. regulatory record (FINRA BrokerCheck).

Compensation: This position is commission-based. Total compensation, including commission and any discretionary bonus, will vary based on experience, portable book of business, and individual production.

About the Company

Roth Capital Partners

Investment banking and capital markets services

ROTH Capital Partners provides financial advisory and capital markets services to companies and investors. It helps clients raise money and manage growth through investment banking, financing, and private capital solutions, and connects them with institutional investors via trading, research, and distribution channels. The firm runs events and corporate access programs (such as conferences) to bring together issuers and investors and supports equities and private capital transactions with underwriting, syndication, and advisory services. The goal is to help mid-market and growth-oriented businesses in areas like Orange County and beyond access funding, expertise, and market access to accelerate growth.

Company size: Not listed
Company stage: Not listed
Total funding: $195M
Headquarters: Newport Beach, CA
Founded: 1984

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