Roth Capital Partners

Investment banking and capital markets services

Institutional Equity Sales

Sales & TradingConfirmed live in the last 24 hours

Full-timeNew York, NY, USA

About the Job

Requirements

The candidate must have 5–10+ years of institutional equity sales experience at a bulge-bracket, middle-market, or boutique investment bank.
The candidate must have an established, portable book of institutional investor relationships and a demonstrated track record of commission generation.
A bachelor's degree is required.
An active Series 7 and Series 63 license is required, or the candidate must be able to obtain them promptly.
The candidate must have a clean U.S. regulatory record, as shown through FINRA BrokerCheck.
Strong knowledge of equity markets, capital markets products, and sector fundamentals across a broad range of industries is required.
The candidate must be able to manage relationships, negotiate, and communicate effectively, including engaging senior portfolio managers and C-suite corporate clients.
The candidate must be able to collaborate across research, sales-trading, and capital markets desks.

Responsibilities

Originate, develop, and manage relationships with institutional investor accounts across the buy side.
Meet or exceed individual commission and revenue targets while managing account profitability and client servicing costs.
Market and distribute the firm's equity research, corporate access events, and desk strategists' event-driven and macro commentary.
Distribute and cross-sell equity capital markets transactions, including IPOs, follow-on offerings, blocks, and secondary offerings, to institutional accounts.
Partner with research analysts, sales-trading, capital markets, and corporate access teams to provide coordinated, high-quality client coverage.
Maintain working knowledge of covered sectors, market conditions, and portfolio manager and analyst priorities across accounts.
Comply with regulatory requirements, including FINRA and SEC rules, and internal policies governing institutional sales conduct, information barriers, and research distribution.
Represent the firm at industry conferences, non-deal roadshows, and client events.

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 an Institutional Equity Sales Professional to our team. The Institutional Sales Professional is a senior, revenue-generating role responsible for building and maintaining relationships with our clients (hedge funds, family offices, mutual/pension funds & other asset managers).This role will be generalist coverage, representing the full breadth of Roth’s institutional capabilities, including equity research, corporate access, capital markets transactions (IPOs, follow-ons, blocks), and trade execution. This is a senior role, requiring individual contribution and self-driven operations, with a high degree of autonomy, commercial judgment, and cross-desk collaboration. This position may be based out of any of our U.S. Offices.

Responsibilities include (but are not limited to):

Originate, develop, and manage relationships with institutional investor accounts across the buy side.
Meet or exceed individual commission and revenue targets while managing account profitability and client servicing costs.
Market & distribute the firm’s equity research, corporate access events and desk strategists event driven and macro commentary. Distribute and cross-sell equity capital markets transactions; IPOs, follow-on offerings, blocks, and secondary offerings to institutional accounts.
Partner closely with research analysts, sales-trading, capital markets, and corporate access teams to ensure coordinated, high-quality client coverage.
Maintain a deep working knowledge of covered sectors, market conditions, and portfolio manager/analyst priorities across accounts.
Maintain compliance with all regulatory requirements (FINRA, SEC) and internal policies governing institutional sales conduct, including information barriers and research distribution rules.
Represent the firm at industry conferences, non-deal roadshows, and client events.

Skills and Attributes:

Strong knowledge of equity markets, capital markets products, and sector fundamentals across a broad range of industries.
Excellent relationship management, negotiation, and communication skills, with the executive presence to engage senior portfolio managers and C-suite corporate clients.
Demonstrated ability to work collaboratively across research, salestrading, and capital markets desks.

Qualifications:

5-10+ years of institutional equity sales experience at a bulge bracket, middle-market, or boutique investment bank.
Established, portable book of institutional investor relationships with a demonstrated track record of commission generation.
Bachelor's degree required.
Active Series 7 and Series 63 licenses required (or ability to obtain promptly).
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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