Bank Of America Vice President – Equity Capital Markets Execution Services 

United States, New York, New York 

383857572

Overview:

• BofA Securities Inc. is an industry leader in Equity Capital Markets (“ECM”)
• VP in ECM Execution Services will partner with Syndicate and Origination team members as well as Investment Banking, Equity Trading, Legal (both internal & external), Compliance, Technology, FINRA (and other regulatory agencies), Client Services, Settlement Operations, Risk, DTCC, and Transfer Agents to coordinate the issuance of equity and convertible securities (Initial Public Offerings, Convertible Securities, At-The-Market (“ATM”) sales, Buybacks, Derivatives and Secondary Issuances)
• Position will be based in New York, NY

Responsibilities:

• Create and maintain critical deal information in our bookbuilding system for communication and distribution to other broker dealers and regulatory agencies.
• Maintain and distribute electronic prospectuses, ECC Memos and other pertinent deal documents
• Responsible for FINRA and/or SEC regulatory communications.
• Responsible for insuring all regulatory requirements (eg. 5131, QIB, 159) are being met on each marketed transaction
• The Associate will be responsible for partnering with banking and/or ECM origination to assist with client and account onboarding for all new clients. This includes collecting relevant paperwork, completing all KYC checks, and opening and maintaining client accounts.
• The Associate will coordinate directly with Corporate clients to advise on and determine settlement and reporting preferences and requirements.
• Create manual confirmations specific to client’s requirements and release these to clients daily.
• Collaborate with outside counsel and Corporate clients on SEC Filings and cleanup of shares for Restricted Stock Sales

Qualifications:

• 2-3 years of relevant ECM Syndicate Operations experience
• Working knowledge of equity securities, share/cash settlement, and product knowledge of equities, convertibles and derivatives.
• Familiarity with relevant compliance rules – i.e. QIB certification; 144A/Reg S; Reg M, Rule 5131, and Rule 2111 (Suitability); - and Prospectus Delivery requirements are also preferred
• Knowledge of various financial products
• Knowledge of DTC, Middle & Back Office Background.
• Excel skills required, PowerPoint / Word proficiency preferred
• Applicant should demonstrate assertiveness, initiative, and strong work ethic within a team framework
• Self-motivated and possesses the ability to learn quickly and take on new responsibilities
• Team-building capabilities both internally and externally, in the US and globally
• Series 7, 63 Registrations Preferred

Once you have applied online, please contact Michael Liloia (Liloia, Michael J. - GCM ) with your resume if you are interested in the role. You must apply first to be considered.