Compliance Associate - Due Diligence
About The Position
The Due Diligence Analyst, working with other diligence personnel, will review products offered by Cetera Financial Group (primarily mutual funds and ETFs), generate a review memo, and present findings to the firm’s Product Review Committee. The analyst will have the responsibility to maintain the firm’s approved product list for active ETFs, mutual funds, and the review of existing products on an ongoing basis. The due diligence process requires involvement with product manufacturers, third party research firms, and senior leaders within Cetera Financial Group. This is a hybrid role in our Dallas, TX office.
Requirements
- At least 2 years of Due Diligence experience at a Broker Dealer
- FINRA Series 7 Registration (or ability to obtain within first 6 months of employment)
- College degree in a business-related field is preferred
- Strong analytical skills.
- Ability to interact with product vendors and registered representatives
- Familiarity with Morningstar software and capabilities
- Comfortable asking hard questions
- Ability to work in a team environment while also being independent
- Proficient with Microsoft Office Suite
Responsibilities
- Perform extensive, in-depth due diligence of investments based on industry best practices.
- Conduct reviews of new mutual fund families for possible use at Cetera Financial Group
- Conduct reviews of specific mutual funds for possible inclusion on Cetera’s approved list of mutual funds for use in advisory accounts
- Manage ongoing review process of the advisory approved mutual fund list
- Maintain process to review new ETF offerings with a specific focus on actively managed ETFs
- Manage ongoing review of newly launched active ETFs
- Communicate result of due diligence reviews with advisors
- Organize and maintain due diligence filing systems, file correspondence, and other due diligence related records
- Work closely with analysts with primary responsibility to review advisory and insurance offerings
- Assist with tasks related to the review of insurance and advisory products
- Attending Sponsor meetings where needed
- Organize and maintain due diligence filing systems, file correspondence, and other due diligence related records
- Other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
251-500 employees
