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Lewis Perry
Securities Underwriter
Summary
Highly accomplished Securities Underwriter with over 5 years of experience in underwriting and pricing equity and debt securities across various industries. Proven ability to develop and execute underwriting strategies that maximize proceeds and minimize risk for both issuers and investors. Strong financial due diligence, risk analysis, and capital markets expertise. Seeking a challenging role where I can leverage my skills to contribute to the success of a reputable organization.
Education
Bachelor’s Degree in Finance, Accounting
November 2017
Skills
- Financial Due Diligence
- Securities Issuance
- Capital Markets Knowledge
- Risk Analysis and Management
- Underwriting Process Management
- Regulatory Compliance (e.g., SEC, FINRA)
Work Experience
Securities Underwriter
- Collaborated with legal counsel, auditors, and other professionals to ensure regulatory compliance and timely execution of transactions.
- Participated in roadshows and presentations to market securities to institutional investors.
- Developed and implemented underwriting policies and procedures to enhance operational efficiency and risk management.
- Trained and mentored junior underwriters, fostering professional development and knowledge transfer.
Securities Underwriter
- Underwrote and priced over $5 billion in equity and debt securities across various industries, including technology, healthcare, and consumer products.
- Developed and executed underwriting strategies that maximized proceeds and minimized risk for both issuers and investors.
- Managed client relationships and provided expert guidance on capital market trends and investment strategies.
- Conducted due diligence and analysis on issuers, including financial modeling, market research, and legal review.
Accomplishments
- Led a team that successfully underwrote a $3 billion bond issuance for a Fortune 500 company, achieving the lowest yield in the companys history.
- Developed and implemented a new underwriting strategy that increased the firms market share in the technology sector by 25%.
- Managed a portfolio of over $1 billion in fixed income securities, consistently outperforming the benchmark index.
- Negotiated complex terms and executed multiple mergers and acquisitions transactions, totaling over $500 million.
- Created and implemented a training program to enhance the skills of junior underwriters, resulting in a 20% increase in productivity.
Awards
- Thomson Reuters Award for Outstanding Achievement in Securities Underwriting
- Institutional Investor AllAmerican Team for Fixed Income Underwriting
- National Association of Securities Dealers (NASD) Award for Excellence in Corporate Finance
- Financial Times Deal of the Year Award for Innovative Financing
Certificates
- FINRA Series 7 (General Securities Representative)
- FINRA Series 63 (Uniform Securities Agent)
- FINRA Series 24 (General Securities Principal)
- CFA (Chartered Financial Analyst)
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Essential Experience Highlights for a Strong Securities Underwriter Resume
- Underwrote and priced over $5 billion in equity and debt securities across various industries, including technology, healthcare, and consumer products.
- Developed and executed underwriting strategies that maximized proceeds and minimized risk for both issuers and investors.
- Managed client relationships and provided expert guidance on capital market trends and investment strategies.
- Conducted due diligence and analysis on issuers, including financial modeling, market research, and legal review.
- Collaborated with legal counsel, auditors, and other professionals to ensure regulatory compliance and timely execution of transactions.
Frequently Asked Questions (FAQ’s) For Securities Underwriter
What is the role of a Securities Underwriter?
A Securities Underwriter is responsible for evaluating and pricing new securities offerings and then selling them to investors. They also provide advice to companies on how to raise capital through debt or equity financing.
What are the qualifications for becoming a Securities Underwriter?
A Securities Underwriter typically needs a bachelor’s degree in finance, accounting, or a related field. They also need to pass the Series 7 and Series 63 exams administered by the Financial Industry Regulatory Authority (FINRA).
What are the career prospects for Securities Underwriters?
Securities Underwriters can advance to senior positions within investment banks or brokerage firms. They can also move into other areas of finance, such as portfolio management or corporate finance.
What is the average salary for a Securities Underwriter?
The average salary for a Securities Underwriter varies depending on experience and location. According to Glassdoor, the average salary for a Securities Underwriter in the United States is around $100,000 per year.
What are the challenges of being a Securities Underwriter?
The challenges of being a Securities Underwriter can include working long hours, dealing with complex financial transactions, and managing risk.