AVP - Syndicate Operations

Syndicate Operations Professional

The Syndicate Operations professional is responsible for supporting the execution of equity capital markets (ECM) transactions, including initial public offerings (IPOs), follow-on offerings, block trades, and private placements. They work closely with investment banking, sales & trading, compliance, and external stakeholders to ensure seamless deal execution while maintaining regulatory compliance. Key Responsibilities:

• Facilitate the operational aspects of syndicate deals, ensuring accurate and timely execution.
• Coordinate with internal teams, underwriters, legal, and external counterparties on transaction logistics.
• Manage deal documentation, including offering memorandums, allocation sheets, and confirmations.
• Oversee trade settlement processes, ensuring smooth delivery and payment of securities.
• Work with clearing firms, custodians, and counterparties to resolve any settlement issues.
• Perform reconciliations to ensure accuracy in trade bookings and position updates.
• Prepare and submit regulatory filings, such as Rule 15c2-11 and SEC Form 144.

Qualifications & Skills:

• 5+ years of experience in equity syndicate, capital markets, or securities operations.