Director of Capital Markets

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To apply to the below position, please send a cover letter and resume to work@rblt.com.

New York City Preferred, OPEN to other locations

Rosenblatt Securities is seeking a Managing Director, Head of Capital Markets to lead our rapidly expanding TMT and FinTech Capital Markets effort.

Job Description

NYC location is not required, but preferred. Our work environment is family-friendly, offers schedule flexibility, PTO time, and promotes work-life balance.

We have a culture of excellence, integrity and putting clients’ needs above our own for over four decades and are in the process of steadily building a best-in-class Global Tech boutique research business. The research unit complements our established agency-only trading business, which boasts the largest market share among all NYSE floor brokers, as well as a reputation for independence and innovation in electronic trading, FinTech and market structure analysis. We have survived and thrived by being humble, listening to our clients, and putting their needs first as we adapt to an ever-evolving world. We are applying that same winning formula to our comparatively new research business (founded in late 2014), as we embrace change, focus on being deeply expert, and as a boutique remain flexible.

The primary responsibility of the individual in this position will be to win mandates for initial public offerings (IPOs), as well as 144a convertible offerings, solely focused in TMT and FinTech. Rosenblatt is typically a co-manager in these offerings, but the number of deals in which we are participating is growing as are the economics, and we expect to lead transactions as time goes on, so experience with lead-managed transactions is necessary for the role.  The business is doubling annually with the growing reputation in the marketplace of our TMT research platform and its expansion, as well as our decision to focus on capital markets in the last 18 months, which has led to participation in a number of offerings. We are seeking a senior, experienced capital markets professional to drive, manage and lead the TMT capital markets effort in the following sectors: FinTech, consumer tech, software, semiconductors, industrial tech, internet, e-commerce, networking and cloud communications, media and telecom.  We also believe there are potentially significant opportunities for advisory roles with respect to direct listings and SPAC targets.

  • Call upon C-level executives, founders and their boards/investors to win Rosenblatt mandates
  • Build and maintain pipeline of potential IPOs and new listings, both near and long-term
  • Keep up to date on industry developments
  • Develop and maintain pitch materials
  • Attend key conference and industry events
  • Cultivate strong relationships with the research team in order to understand their industries and stock coverage, while following our written supervisory procedures that require the independence of research

Qualifications, Knowledge, Experience and Values

  • Bachelor’s Degree required with Finance or related majors a plus; Graduate or Professional Degree and/or CFA a plus.
  • Active professional licenses such as the Series 79 and 7 preferred.
  • Five or more years’ experience working in or leading a capital markets unit at a bank or broker is required (no exceptions), including significant experience with C-level and Board executives.  It’s a plus if any of that experience is in the TMT space so industry knowledge and relationships with management teams will allow the individual to hit the ground running.  
  • Collaborative approach to work.
  • Ability and drive to operate both independently and as part of the broader team.
  • Approach obstacles with a problem-solving, positive approach.
  • Results-oriented, highly motivated, winning attitude.
  • Strong risk management skills and a culture of compliance mindset.

Job Type
Full Time