D.A. Davidson Companies · 23 hours ago
Vice President, Capital Markets Syndicate (ECM)
New York, NY
Full-time
Onsite
Mid, Senior Level
$175K/yr - $225K/yr
7+ years expD.A. Davidson Companies is an independent, employee-owned financial services firm with over 80 years of history. They are seeking a Vice President to manage day-to-day syndicate and transaction operations workflows in the Capital Markets team, focusing on execution and settlement functions for various capital market transactions.
Financial Services
Responsibilities
Deal Execution & Settlement
Coordinate execution workflows from launch through pricing, allocation, confirmations, and settlement across ECM 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
Syndicate Process / Allocations & Communications
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
Controls, Compliance & Documentation
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
7 years or more experience in a similar role
FINRA SIE and Series 7 Licenses required
Series 24 preferred, or willingness to obtain within six months of accepting position
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); experience with industry-specific applications and programs is a plus
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
Project management experience is a plus
Experience with industry-specific applications and programs is a plus
Benefits
Eligible to participate in applicable D.A. Davidson variable compensation programs
Company
D.A. Davidson Companies
At D.A.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Larry Martinez
Chief Executive Officer
Amy Anastasoff
Chief Operating Officer, Fixed Income Capital Markets
Recent News
The Express Tribune
2025-10-06
2025-10-03
2025-09-25
Company data provided by crunchbase