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D.A. Davidson Companies · 16 hours ago

Sr Syndicate Position, Capital Markets Syndicate (ECM/DCM)

New York, NY

Full-time

Onsite

Senior Level, Lead/Staff

$225K/yr - $300K/yr

8+ years exp

D.A. Davidson Companies is a firm that provides quality financial solutions and personalized advice to a wide range of clients. They are seeking a Vice President or Senior Syndicate Professional to manage syndicate and transaction operations workflows for the Capital Markets team, focusing on executing syndicate transactions and ensuring compliance with regulatory requirements.

Financial Services

Responsibilities

Coordinate execution workflows from launch through pricing, allocation, confirmations, and settlement across ECM (and select DCM) transactions

Partner with internal Operations and external parties to confirm wiring instructions, delivery instructions, settlement timelines, and post-close confirmations

Maintain execution checklists, timelines, and open-item trackers; proactively escalate issues and drive items to closure

Manage syndicate communications and documentation; coordinate with syndicate members on inputs, allocation logistics, and post-pricing mechanics

Support allocation and reporting processes, ensuring accuracy, approvals, and a clear audit trail

Assist the ECM team in keeping internal and external stakeholders aligned throughout the transaction lifecycle

Support adherence to applicable regulatory and firm policy requirements for syndicate and capital markets execution (e.g., Reg M controls where applicable)

Coordinate required documentation packages and help maintain standard templates and playbooks

Assist with annual client IPO certification processes and related attestations, as needed

Qualification

Capital Markets ExperienceFINRA LicensesSyndicate OperationsAnalytical SkillsProject ManagementComputer ProficiencyCommunication SkillsOrganizational SkillsAttention to DetailConfidentiality

Required

8 years or more experience in a similar role

FINRA SIE and Series 7 Licenses required

Significant knowledge of concepts, practices, and procedures of the securities industry, particularly focused on the Equity and Debt Capital Markets Syndicate and Operations functions

Strong organizational, communication, and analytical skills

Proficient computer skills, including word processing and spreadsheets (Word, Excel, Outlook, Powerpoint, or similar skills)

Ability to handle confidential information and matters with discretion

Ability to work independently in high-pressure situations with minimal direction and handle multiple tasks and complete within a timely manner

High standard of accuracy and excellent attention to detail