Due Diligence Analyst
Conduct initial and ongoing due diligence analysis of asset managers and investment opportunities and ad hoc and routine research on investment related topics (Conduct the periodic delivery and review of aggregated information via data entry & automation (i.e. scorecards, performance reporting, due diligence summaries). Manage or conduct focused, short time horizon Due Diligence projects and projects that may have a long time horizon and broad impact across the company. Manage Due Diligence / Vendor interactions, such as gathering information, coordinating communication, conducting & coordinating site visits. Assessment of asset manager’s compliance program and governance environment. Consult with other departments to help them understand how investment issues and due diligence findings impact their areas of concern.
The Due Diligence (Middle Office) role will be primarily responsible for the following:
- Assessment of Investment Manager’s operational infrastructure and governance models.
- Tracking progress and communication with Portfolio Management on pipeline of deal flow.
- Record findings in written format, utilizing Salesforce, Microsoft products and other templates
- Present results to Portfolio Management and other stakeholder’s via committee meetings.
- On-going monitoring and oversight of investment managers and external service providers
- Collaborating and communicating with stakeholders within Investment Management as well as with other cross-functional business partners
- Maintaining and improving standard work, policies/procedures and process workflows
- Ad-hoc projects such as, technology enhancements and special projects that leverage the due diligence process
The Due Diligence (Middle Office) role will have secondary responsibilities such as:
- Support and coordination with internal investment compliance team on reporting items as needed.
- Investment portfolio guideline testing and reporting
- Four year college degree
- 3+ years working in the financial services sector with regulatory compliance experience.
- Investment Adviser Certified Compliance Professional designation or interest in pursuing
- Advanced knowledge and experience using Microsoft Office products (primarily Excel, PowerPoint, BI and Access)
- Must be eligible to work in the US without sponsorship now or in the future.
- Position may require up to a 30% travel commitment on a rolling twelve month basis
- Knowledge of financial securities markets, language and products
- Strong analytic and problem solving skills
- Excellent verbal and written communication skills
- Independent and self-motivated, with the ability to directly address conflicts and escalate issues where appropriate
- A sense of urgency, with the ability to prioritize / multi-task well
- Strong client focus and ability to partner with various internal groups and client coverage
- Risk and controls awareness
- Adaptability and ability to thrive in a fast-paced, changing environment
- Strong attention to detail, while accurately processing large volumes of work amongst competing priorities
- Recognition of patterns and trends in data operations and identify opportunities for improving processes and systems