with Series 24 & Underwriting Experience.

Location: New York, NY (preferred) Hybrid/ Remote

Compensation: $200,000 – $250,000 base, plus performance-based incentives and deal-driven compensation

Type: FULLTIME / FRACTIONAL / CONTRACT to HIRE

(6 month contract to hire)

Required: Active Series 24 with Underwriting Experience a must.

Interview Times available: 9/3/2025 - 9/16/2025

Our client, a new U.S. investment banking and underwriting firm backed by a publicly traded Hong Kong company, is establishing its U.S. headquarters in New York. The firm is in the process of filing Form NMA with FINRA and will operate as an introducing broker focused on underwriting activities and private placements. With strong institutional support and deep connections across Hong Kong and the ASEAN region, the company anticipates handling 8+ IPO transactions in its first year, valued between $5–15 million each.

We are seeking a seasoned Chief Executive Officer (CEO) to spearhead the launch and strategic growth of the firm’s U.S. operations. The CEO will serve as a registered principal and organizational leader, responsible for building the team, developing client relationships, and driving underwriting and investment banking activities—primarily for small to mid-cap IPOs on Nasdaq, with expansion to NYSE and CBOE as applicable.

• Lead the establishment of the U.S. office and oversee all operational, financial, and strategic initiatives.
   
• Act as a registered principal with FINRA, ensuring full compliance with all regulatory requirements.
   
• Drive business development efforts, leveraging industry relationships to source and execute IPOs and private placements.
   
• Guide non-U.S. companies through the IPO vetting, structuring, and listing process.
   
• Build and mentor a high-performing team, including the recruitment of the Chief Compliance Officer (CCO) and other key staff.
   
• Establish policies and procedures to ensure efficiency, risk management, and regulatory compliance.
   
• Collaborate closely with the parent company and global partners to maximize deal flow and execution success.
   

• Active FINRA Series 24 license (required); additional principal or supervisory licenses preferred.
   
• Proven track record in underwriting, investment banking, and IPO execution.
   
• Prior leadership experience in launching or scaling a broker-dealer or underwriting platform.
   
• Strong professional network and industry connections across U.S. and international markets.
   
• Entrepreneurial mindset with the ability to build from the ground up.
   
• Excellent communication, negotiation, and relationship management skills.

CONTACT: mike@toughtechsolutions.com