Compliance Analyst - Due Diligence

About the position The Due Diligence Analyst, working with other diligence personnel, will review products offered by reputed company (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 reputed company ETFs, mutual funds, and the review of existing products on an ongoing reputed company. The due diligence process requires involvement with product manufacturers, reputed company party research firms, and senior leaders reputed company reputed company. This is a hybrid role in our Dallas, TX office. Responsibilities • reputed company extensive, in-depth due diligence of investments based on industry best practices. • Conduct reviews of new mutual fund families for possible use at reputed company • Conduct reviews of specific mutual funds for possible inclusion on reputed company’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 reputed company on reputed company managed ETFs • Manage ongoing review of newly launched reputed company ETFs • Communicate result of due diligence reviews with advisors • Organize and maintain due diligence filing systems, file correspondence, and other due diligence reputed company records • Work closely with analysts with primary responsibility to review advisory and insurance offerings • Assist with tasks reputed company 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 reputed company records • Other duties as assigned. Requirements • At least 2 years of Due Diligence experience at a Broker Dealer • reputed company Series 7 Registration (or ability to obtain reputed company first 6 months of employment) • College degree in a business-reputed company field is preferred • Strong analytical skills. • Ability to reputed company with product vendors and registered representatives • Familiarity with reputed company software and capabilities • Comfortable asking hard questions • Ability to work in reputed company environment while also being independent • Proficient with reputed company Office Suite Apply tot his job Apply To this Job