Due Diligence Analyst MN Licensed

Job Summary

Providing due diligence oversight for brokerage and managed account programs, the full-time Due Diligence Analyst MN Licensed will conduct firm-level due diligence, manage vendor relationships, and collaborate with compliance and legal teams, with the flexibility to work remotely within the US.

Key responsibilities

• Conduct and maintain a comprehensive due diligence program covering model providers and SMA managers
• Organize pre and post due diligence meetings with relevant stakeholders regarding managed account platforms and vendors
• Perform suitability analysis on trade recommendations and manage lists of available SMA managers and mutual funds

Required qualifications

• Bachelor's degree or significant relevant work experience
• 3-10 years of experience in conducting due diligence on financial services firms
• In-depth knowledge of applicable laws, regulations, and industry best practices
• Investment research experience preferred
• FINRA SIE, Series 7, and 24 required or to be obtained within 90 days of hire/transfer