D.A. Davidson Equity Capital Markets · 1 week 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 expD.A. Davidson & Co. is a financial solutions provider delivering personalized advice and capital market investment banking expertise. They are seeking a Vice President or Senior Syndicate Professional to manage syndicate and transaction operations workflows, focusing on deal execution and settlement in capital markets transactions.
Banking
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
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
Preferred
Series 24 preferred, or willingness to obtain within six months of accepting position
Project management experience is a plus
Experience with industry-specific applications and programs is a plus
Company
D.A. Davidson Equity Capital Markets
D.A.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknown2021-06-14Acquired
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