ECM Operations – Charitable/Structured Flow-Through Program

Job Title:              ECM Operations – Charitable/Structured Flow-Through Program

Employer:           Sprott Capital Partners (“SCP”)

Location:             Toronto

Summary:

  • The ideal candidate will be a bright, motivated professional that is knowledgeable about both the Capital Markets and Wealth Management activities and functions within an IIROC firm
  • Knowledge and understanding of the Equity Capital Markets (ECM) functions as well as the understanding of private placements including the ability to interact with high net worth (“HNW”) individuals and their trusted advisors
  • Will work alongside experienced industry leaders
  • Must be a self-starter and comfortable working both independently and as a part of a team

Duties/Requirements:

  • Working with counter-party dealers and their underlying clientele with respect to launching deals and managing the closing and settlement logistics for live financings including:
    • Assist in the launching of transactions, building the book and allocations
    • Coordination of new issue transactions, both brokered and non-brokered
    • Management of live deal materials
    • Communicating with our custodian directly on any new issue or non-brokered matters to ensure seamless settlement
    • Assist with day-to-day tasks as assigned
  • Understanding of the New account opening process at an IIROC firm
    • Retail requirements
    • Familiarity with Chaperone Arrangements
    • Understanding of US Institutional clients – QIBs and their settlement requirements
  • Familiar with preparing Subscription Agreements as well as understanding the Accredited Investor requirements
  • The ability to interact and coordinate with internal and external stakeholders for financings, specifically:
    • Issuer’s counsel (legal advisors)
    • Investment Advisors/PMs at external firms
    • Various ECM groups at other IIROC firms

Minimum Qualifications

  • Experience in the capital markets and financial services industry experience;
  • A bachelor's degree in Business is desirable
  • Working towards or the completion of the CSC and CPH materials
  • Energetic self-starter who is flexible, organized, conscientious, proactive, and detail-oriented
  • Demonstrated sense of personal accountability and urgency for achieving results
  • Ability to work effectively, as well as independently, in a team environment
  • Familiar with Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
  • Knowledge of, and familiarity with back-office systems (National Bank Independent Network and ISM)
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy

To apply for this position, please send your resume and cover letter addressed to Sarah Zsiros (hr@sprott.com) with the title (SCP Application – ECM Operations) in the subject line. Early submission is highly encouraged as applications are reviewed on a rolling basis. SCP welcomes and encourages applications from people with disabilities. Please let us know if we can provide disability-related accommodations to support your participation in SCP’s recruitment process.

We thank all applicants for their interest; however, only qualified candidates as determined by SCP will be contacted. SCP does not accept unsolicited agency resumes or phone calls.

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