Due Diligence Analyst

Location
Austin, Texas (US)
Salary
Base + Bonus
Posted
05 May 2022
Closes
04 Jun 2022
Employment Type
Full Time
Education
Bachelors

As the Due Diligence Analyst, you will report to the VP, Investment Products. You will perform research of our investment products such as alternative investments, variable and fixed index annuities, and investment managers. You will work with our team to ensure all new and ongoing due diligence is managed to reduce firm risk. Included in this role is the responsibility to partner with our legal and compliance in defining the due diligence requirements, processes, reporting and documentation, and then completing the agreed upon process on an ongoing basis. You will take the lead in due diligence related conversations with sponsors, third-party due diligence providers, Investment Committee members and advisors. Further, you will maintain all complex product website information on our advisor facing desktop.

RESPONSIBILITIES:

  • Work with VP, Investment Products to maintain availability of Alternative Investment and overall complex product offering.
  • Perform ongoing diligence analysis on advisory platforms, investment managers, annuities, and alternative investments products.
  • Document due diligence report from data gathered in the analysis at initial due diligence and on an ongoing basis for approved products/providers.
  • Oversee Investment Committee meetings including presenting due diligence materials.
  • Develop online complex product pages like the Alternative Investment pages for Kestra advisors.
  • Manage due diligence filing system and files correspondence and other records.
  • Coordinate and arrange meetings, prepares agendas, prepare and reserves facilities and types up minutes from meetings about due diligence.
  • Make copies of correspondence and other printed materials to maintain books and records requirements.
  • Work with our teams and clients.
  • Will be asked to travel 10% of the time.
  • Other responsibilities as assigned

SKILLS:

  • MS Office Suite
  • Research
  • Customer Service.
  • Prioritization and Problem Solving

SUPERVISORY RESPONSIBILITIES:

  • None

EDUCATION AND EXPERIENCE:

  • College degree in business related field.
  • 3 years of experience in investments area

CERTIFICATIONS:

  • Series 6 or 7
  • Series 63 or 66
  • Series 65 beneficial.
  • CAIA, CIMA or CFA useful.

BENEFITS:

Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more.

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