Institutional Equity Sales

Institutional Equity Sales Professional

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.

Roth Capital Partners, LLC