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.
- 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.
KNOWLEDGE, EXPERIENCE, AND EDUCATION 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.
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What We Do
At D.A. Davidson Companies, we identify and evaluate market trends, investment ideas and business opportunities, and turn them into actionable insights and strategies. Founded in 1935 as a small brokerage firm, D.A. Davidson has grown into a diversified financial services company comprised of seven distinct business units across the U.S. Through the years, our most important service has remained consistent: a personalized approach that reflects the individuality of each of our clients. As part of an employee-owned company, each of our associates has a unique perspective of success. We believe in doing what is right for our clients and are empowered to deliver high-impact solutions. We are with our clients every step of the way—leveraging our nationally-recognized research, capital markets and investment banking expertise, and a robust network of financial advisors. Clients not only benefit from our expansive platform of solutions and services, but also from strong values rooted in tradition and a deep sense of responsibility to our communities.
