Director or Vice President - Capital Markets / Investment Banking (Equity Linked)

  1. Riley Financial provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley Financial is headquartered in Los Angeles with offices across the U.S. as well as an international presence. For more information, please visit
  2. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on equity, equity linked and fixed income offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research. B. Riley Securities formerly operated as B. Riley FBR following the merger of B. Riley & Co. and FBR & Co. 

We are seeking a full-time Director or Vice President in Capital Markets to work in our Chicago, IL office. The base salary for this position will vary based on experience, the expected range is $175,000 - $210,000 in addition to bonus based compensation.

The Capital Markets group originates and executes public and private equity, equity linked and debt offerings throughout all sectors. You will participate in the full cycle of deal execution. Our team partners with the firm’s investment banking professionals advising corporations, private companies, and financial sponsors globally on equity issuance and other aspects of the equity markets. Capital Markets regularly liaises with our institutional sales force, equity research analysts, as well as directly with investors and issuers. The interaction between these groups provides us with excellent market intelligence, industry knowledge and execution capabilities. Our environment is collaborative, demanding, fast-paced, and entrepreneurial.

Duties of this position include, but are not limited to the following:

  1. This individual will work with investment banking coverage teams to lead execution on essentially all convertible debt placements across our platform, complementing our recent market share ascension in ECM and DCM.
  2. Execute in-depth analyses for complex and high impact new business development, transaction execution and the delivery of all convertible debt client needs.
  3. Build and maintain relationships with clients, consistently exceed client expectations. Assume role of day-to-day client contact for questions, comments, inputs and deal related matters.
  4. Deep understanding of and relationships with liquid as well as private convertible note investors.
  5. Participate in selling/pitching of convertible note services/products to clients and prospects, leveraging understanding of macro trends and strategic direction of clients to gain business.
  6. Provide direction on pricing dynamics, borrowing strategies, and other analytical exercises necessary involving a convertible note offering.
  7. Leverage expertise of capital markets and key market drivers across products and industries to develop key themes for positioning, valuation, and marketing strategy.
  8. Suggest innovative approaches for due diligence, research, and analysis efforts. Anticipate and address needs of senior team members and proactively identify probable deal issues, providing thoughts and perspective on resolution.
  9. Offer creative and insightful resolution to issues or problems arising in execution and origination.
  10. Execute with limited oversight day to day and review the work of Analysts.
  11. Perform other duties as assigned.

Desired Skills, Background and Knowledge:

  1. 7+ years of relevant experience, with 5+ years specifically in capital markets, investment banking, or institutional equity sales; buy side experience is also valued.
  2. SIE, Series 79, and 63 licenses required.
  3. Strong understanding of various capital market securities including convertible securities, transaction marketing strategies, regulatory/legal framework, investors, and pricing dynamics
  4. Strong knowledge of institutional investor landscape and ability to customize investor targets for specific situations.
  5. Ability to lead transaction processes and pitch new business with moderate senior banker oversite.
  6. Ability to work autonomously and manage multiple different work streams.
  7. Proven ability to work well in a fast-paced, team-oriented environment.
  8. Excellent interpersonal and communication skills with ability to articulate complex concepts.
  9. Strong accounting, finance, quantitative, mathematics and business writing skills.
  10. Strong desire to be an advocate for our clients and build upon our existing platform.

B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage. 

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