Vice President, Capital Markets Syndicate (ECM)

D.A. Davidson • New York, NY

3d • $175,000 - $225,000

About The Position

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

D.A. Davidson & Co. is a leading financial services firm providing wealth management, financial planning, investment banking, and public finance services to a client base that includes individuals, corporations, institutional clients, and governments. The firm has operations across the United States.

We are hiring a Vice President to support the Capital Markets team by managing day-to-day syndicate and transaction operations workflows. The ideal candidate will have 7+ 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

• 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. 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

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 1,001-5,000 employees