Vice President - Equity Capital Markets Execution Services

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.

Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being a diverse and inclusive workplace, attracting and developing exceptional talent, supporting our teammates' physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.

Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

• 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

• 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

• 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