Managing Director or Director, Equity Capital Markets Advisory

Kroll, Equity Capital Markets - New York/Norwalk, CT

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity-not just answers-in all areas of business. We value the diverse backgrounds and perspectives that enable us to think globally. As part of One Team, One Kroll, you'll contribute to a supportive and collaborative work environment that empowers you to excel.

Kroll Equity Capital Markets (ECM) Advisory advises clients on a broad range of strategic and tactical transaction related issues, stressing independent counsel and world-class execution. Its primary services include IPO Execution, Follow-on Offering Advisory, and Capital Sourcing. We believe that companies seeking to raise capital from the public capital markets benefit greatly from hiring an experienced independent financial advisor. As such, we provide end-to-end transaction process management. Our mission-critical advisory services encompass all aspects of raising equity capital, including valuation, underwriter selection, investor targeting, offering structure, transaction sizing, pricing strategy, and stock allocations. Our role is complementary to and collaborative with the investment banks that serve as IPO underwriters.

At Kroll, your work will help deliver clarity to our clients' most complex challenges. Apply now to join One team, One Kroll.

The Role

The successful candidate will be responsible for the origination and execution of new mandates related to advising potential issuers and their financial sponsors on capital raising alternatives primarily in the public, but also the private markets. The candidate will collaborate with Kroll's sector-focused M&A bankers as well as other professionals throughout the firm. This person will join an established and growing practice area and will have the opportunity to work closely with its senior team.

Responsibilities will include but not be limited to the following:

• Advising issuer clients and financial sponsors on capital raising/monetization strategies as well as the considerations associated with each alternative.


• Conducting due diligence on company business plans and financial models.


• Providing transaction oversight on equity and equity-linked securities transactions, including initial public offerings, follow-on offerings, block trades and convertibles.


• Managing issuers and financial sponsors through the critical elements of the transaction process, including underwriter selection, economic structures, investor targeting/distribution strategy, market demand, pricing alternatives and allocation strategy


• Developing fresh, independent perspectives on sector specific market conditions and valuation drivers.


• Preparing detailed pitch materials for prospective issuers involving a wide range of topics/structures


• Coordinating efforts with deal team members across the firm.


• Participate in prospectus drafting and due diligence, preparation of roadshow schedules and presentations, investor targeting and investor feedback, and development of equity pricing materials.

The successful candidate will possess the following:

• Minimum of 25 years of experience at an investment bank with a focus on equity capital markets and/or corporate finance, sector experience a plus


• Must have considerable IPO experience, IPO Advisory experience a plus.


• Strong financial modeling/valuation and analytical skills.


• Relationships with ECM desks across the Street.


• Knowledge of relevant institutional investors across multiple sectors


• Bachelor's Degree or the equivalent in Business Administration, Finance, Economics, Math or related field.


• Ability to comfortably interact with client senior management as well as partners at private equity firms.


• Highly organized, detail oriented and proactive. Energetic and decisive, with high level of integrity.


• Ability to communicate concepts and ideas both verbally and in writing as well as defend their validity.


• Team mentality and relationship builder, who can establish trust and credibility across the firm.


• Series 63, 7 and 79.

In order to be considered for a position, you must formally apply via careers.kroll.com.

Kroll is committed to creating an inclusive work environment. We are proud to be an equal opportunity employer and will consider all qualified applicants regardless of gender, gender identity, race, religion, color, nationality, ethnic origin, sexual orientation, marital status, veteran status, age or disability.

The current salary range for this position is $200,000 to $500,000.

#LI-AC1Kroll Equity Capital Markets (ECM) Advisory advises clients on a broad range of strategic and tactical transaction related issues, stressing independent counsel and world-class execution. Its primary services include IPO Execution, Follow-on Offering Advisory, and Capital Sourcing. We believe that companies seeking to raise capital from the public capital markets benefit greatly from hiring an experienced independent financial advisor. As such, we provide end-to-end transaction process management. Our mission-critical advisory services encompass all aspects of raising equity capital, including valuation, underwriter selection, investor targeting, offering structure, transaction sizing, pricing strategy, and stock allocations. Our role is complementary to and collaborative with the investment banks that serve as IPO underwriters.