Qualifications: (including specific Education and License requirements)

• Broad knowledge and background in various word processing, power point and spreadsheet applications.


• In-depth working knowledge of political subdivisions, school districts and municipalities and the operational and legal procedures under which they operate.


• Working knowledge of company and division operations policies and procedures.


• Efficient, fast and accurate transcription, typing, filing and other secretarial and general office skills to handle the work of the underwriters.


• Effective communication and human relation skills, sound judgment and math aptitude.


• Ability to work independently, under strict time constraints and handle pressure situations with underwriters, bond counsel and client issuers.

1. Prepare, type and/or oversee all resolutions/ordinances, passage proceedings, POSs etc. to ensure that the underwriters have everything they need on a critical timing basis to obtain and complete a successful bond issue. Prepare closing documents, actual bond forms, arrange for offering documents to be completed and printed and coordinate with operations personnel registration lists, closing instructions and obtain CUSIP numbers. This process involves numerous phone calls with bond counsel, issuers, and printers to coordinate the timing of the issue and exchange information. Prepare the settlement report at the closing of the issue.

2. Serve as a liaison between the underwriter, bond counsel, city, county and/or school officials. The position gathers information and provides explanation for the preparation of bond offering documents for release to the Firm's sales force in order to facilitate the sale of underwritten issues. A broad range of product knowledge is required to successfully educate the sophisticated and unsophisti­cated participants in this process.

3. Comply with FINRA and MSRB rules and regulations by filing MSRB, KIS & PSA forms for all underwritings. This must be done within strict time constraints.

4. Prepare election brochures for issuers and arrange to have them printed. Assemble bond transcripts for the issuer, state and other agencies after an issue has closed.

5. Run debt service schedules and savings reports for potential issues. This often requires numerous reruns to accommodate changes in the underlying assumptions for an issue, interest rate changes and structuring revisions.

6. Order department publications to include legislative bills, State Statute books, and various agency directories.

7. Coordinate payment of underwriting expenses.

8. Prepare new business proposals on prospective new clients and prepare spreadsheets for municipal underwriters.

9. Maintain a tickler file on advance refunding issues to assure that all call notices are filed with appropriate agencies within an established time schedule. If filing deadlines are not met, it could result in a financial loss for the firm as well as the potential loss of a client.

10. Enter pending deals on the Firm Calendar list. Maintain an accurate account of the deals on the Experience List.

11. Maintaining underwriting file and transcripts for each underwriting transaction.

12. Maintain Financial Advisory agreements for each Financial Advisory relationship.

13. Oversee all marketing and advertising duties as required by the branch.

14. Perform miscellaneous duties as requested to include filing and typing.