Job details
Job type full-time
Full job description
The senior due diligence analyst will provide initial and ongoing reviews of advisory and retirement products and services as assigned by the head of due diligenceThis role is critical to the determination of regulatory, investment and reputation risk inherent in offering a particular product via the retail distribution channelThe senior analyst performs a full review of investment products, leading to the production of a due diligence committee memorandum.
Perform extensive, in-depth due diligence of investments based on industry best practices
Evaluate pertinent industry information and apply such to the assessment of the business model for viability, strengths, weaknesses and stress factors
Gather, analyze and assess information for the initial and ongoing due diligence of an investment product/service
Evaluate responses to due diligence questionnaires to assist in understanding the sponsor’s financial and operational risks and create additional questions stemming from such responses
Evaluate the infrastructure, investment operations and controls in place to support and oversee the execution of the investment strategy and stress-test assumptions
Develop, document and articulate findings and recommendations regarding the manager and the managed entity in order to achieve best practices
Significantly assist with ongoing monitoring and due diligence processes
Provide quantitative and qualitative analysis support to team
Assist with other product type reviews as needed
Where appropriate, provide written, oral and telephone support to registered representatives and financial planners in the areas of advisory products, retirement products, mutual funds, alternative, and other asset types as assigned
As assigned, complete various ad-hoc projects with time-sensitive deadlines and aggressive deliverables
Travel – up to 25%
Qualifications - external
What you need to have:
Bachelor’s degree from an accredited four-year college or university
5+ years in a direct product research or due diligence role within a retail distribution channel
Finra series 7
Extensive microsoft office program skills (word, powerpoint, excel – including pivot tables and v-lookups)
Proven experience as a strategic thinker, capable of articulating diverse and complex investment themes and concepts
Excellent written and verbal communication skills
Proven analytical problem solving skills with a demonstrated ability to research problems and proactively suggest ways to better a process
Highly motivated with demonstrated experience managing multiple projects in a fast paced, deadline-oriented work environment
Comfortable working within an entrepreneurial, “roll-up your sleeves� environment
Self-starter who will anticipate challenges and work proactively to resolve issues
Really catch our eye with:
Mba or cfa
Finra series 24
Our top performers share the following traits:
Uncompromising attention to detail
Highly organized
Strong presentation skills
Excellent time management skills, capable of working within a fast paced, multiple-task environment
Team player
What we give you in return:
Not many teams can say that they support people’s dreams coming to life… we happen to do that every dayAnd as important as we know your career is, we recognize that there’s a whole lot more to lifeTo ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and benefits package inclusive of:
Health, dental, vision and life insurance plans built to support healthy lifestyles, offer preventative care, and protect against hardship
20 days of paid time off (pto), paid holidays, and 2 days of paid volunteer time off (vto) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities
401(k) savings plan with a generous company match (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years
Health savings and flexible spending account options to help you save money on healthcare, daycare, commuting, and more
Employee assistance program (eap), lifelock, pet insurance and more
Covid-19 & cetera:
Cetera is committed to providing a safe and healthy work environment for all employees, and as part of this duty of care most roles require our employees and contractors to be fully vaccinated against covid-19 (or submit to weekly testing)Roles which are public/client facing require vaccination in all casesThis is a condition of employment, and you may be required to provide proof of your vaccination statusMask or face coverings are required in specific facilities and details will be provided to you prior to your start date.
About cetera financial group:
Cetera financial group â® (`cetera`) is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutionsCetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirationsAdvisor support resources offered through cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
` cetera financial group ` refers to the network of retail independent broker-dealers encompassing, among others, cetera advisors , cetera advisor networks , cetera financial institutions, cetera financial specialists , and first allied securities .
Cetera financial group is committed to providing an equal employment opportunity for all applicants and employeesFor us, this is the only acceptable way to do businessAccordingly, all employment decisions at the cetera financial group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, u.sMilitary status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note : this recruitment assignment is being managed directly by cetera’s talent acquisition teamWe will reach out to our preferred agency partners in the rare instance we require additional talent optionsYour respect for this process is appreciated.
Please review our workforce privacy policy for further details on what information we collect and the purposes for collection.
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