Managing Director, Capital Markets Syndicate (ECM)
About The Position
Our firm delivers a breadth of quality financial solutions to individual and institutional investors, companies, and government entities. D.A. Davidson Companies provides straightforward, personalized advice, nationally recognized research, and capital market investment banking expertise to clients who need help achieving their strategic financial goals. We are hiring a Managing Director to support the Capital Markets team by managing day-to-day syndicate and transaction operations workflows. The ideal candidate will have 10+ years of experience supporting the capital markets deal execution and settlement functions. This candidate will work closely with the capital markets business unit and operations to execute syndicate transactions in Initial Public Offerings, follow-ons, block transactions, private placements, PIPEs and corporate debt issuances.
Requirements
- 10 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. Project management experience is a plus.
- 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.
Responsibilities
- Coordinate and manage oversight of 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.
- 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.
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
Number of Employees
1,001-5,000 employees
