The Role
Sales Trader serves institutional clients by managing equity orders, providing real-time market color, liquidity and execution strategy, facilitating block trades, and marketing the firm's research and capital markets services. The role builds buy-side relationships, cross-sells platform offerings, ensures FINRA and SEC compliance, and partners with compliance, operations, and technology teams to resolve trade and settlement issues.
Summary Generated by Built In
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 experienced Sales Trader to our team. The Sales Trader serves as the primary point of contact for the firm's institutional client base, working alongside institutional sales to deliver market commentary and market the firm’s institutional brokerage services. This role sits at the intersection of the sales and trading desks, translating client orders into executed trades while providing real-time market color, liquidity insight, and trading strategy to institutional accounts. The Sales Trader is expected to build durable client trust through responsiveness and market expertise. This position may be based out of any of our U.S. Offices. Responsibilities include (but are not limited to):
Compensation:
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 is looking to add an experienced Sales Trader to our team. The Sales Trader serves as the primary point of contact for the firm's institutional client base, working alongside institutional sales to deliver market commentary and market the firm’s institutional brokerage services. This role sits at the intersection of the sales and trading desks, translating client orders into executed trades while providing real-time market color, liquidity insight, and trading strategy to institutional accounts. The Sales Trader is expected to build durable client trust through responsiveness and market expertise. This position may be based out of any of our U.S. Offices. Responsibilities include (but are not limited to):
- Receive, work, and manage institutional client orders across cash equities, ensuring client’s instructions are fulfilled consistent with firm policy and regulatory requirements.
- Provide clients with real-time market color, liquidity assessments, and trade strategy recommendations (e.g., algo selection, block facilitation, VWAP/POV strategies).
- Market and cross sell Roth’s full service platform, including fundamental research, technical research, derivatives, event driven, capital markets and Quantative Survey Group.
- Facilitate blocks in coordination with the trading desk and capital markets as needed.
- Maintain strong working relationships with buy-side traders and portfolio managers, acting as a trusted point of contact for execution-related needs.
- Ensure full compliance with FINRA/SEC regulations, exchange rules, and internal policies governing trading conduct, information barriers, and order handling.
- Partner with compliance, operations, and technology teams to resolve trade breaks, settlement issues, and system needs.
- Strong working knowledge of equity market structure, order types, algorithmic trading strategies, and execution venues.
- Excellent communication skills and the ability to perform effectively under pressure in a fast-paced, real-time environment.
- 5+ years of equity sales trading experience at an investment bank, broker-dealer, or institutional trading desk.
- Active Series 7 and Series 63 licenses required; Series 57 (equity trader) a plus.
- Established relationships with institutional buy-side trading.
- Bachelor's degree required.
- Clean U.S. regulatory record (FINRA BrokerCheck).
Compensation:
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.
Skills Required
- 5+ years of equity sales trading experience at an investment bank, broker-dealer, or institutional trading desk
- Active Series 7 license
- Active Series 63 license
- Established relationships with institutional buy-side trading clients
- Bachelor's degree
- Clean U.S. regulatory record through FINRA BrokerCheck
- Series 57 equity trader license
- Strong knowledge of equity market structure, order types, algorithmic trading strategies, and execution venues
- Excellent communication skills and ability to perform under pressure in a real-time environment
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The Company
What We Do
Roth Capital Partners, LLC is a relationship-driven, full-service investment bank that provides strategic and financial advisory services to growth companies and their investors.
