The Role
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.
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.
KNOWLEDGE, EXPERIENCE, AND EDUCATION 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.
At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
ACKNOWLEDGMENT
Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employment or, if hired, may result in my termination of my employment at any time during the period of my employment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.
D.A. Davidson Companies Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about D.A. Davidson Companies and has not been reviewed or approved by D.A. Davidson Companies.
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Equity Value & Accessibility — Employee ownership through an ESOP is positioned as a core part of total rewards, complementing cash compensation. Ownership is framed as adding long‑term value alongside other benefits.
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Retirement Support — 401(k) options and company contributions via profit‑sharing are highlighted as part of the package. Early eligibility and combined ESOP/401(k) design can materially boost long‑term retirement savings when the firm performs well.
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Parental & Family Support — Paid parental, adoption, and surrogacy leave are explicitly offered. Broader paid time off and holidays are emphasized in role materials.
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The Company
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.
