Due Diligence Associate
About the position
Cetera Financial Group (“CFG”) is a network of independent broker-dealers located throughout the country. CFG is currently seeking a Due Diligence Associate to assist with the due diligence review of all products offered by Cetera Financial Group.
The Due Diligence Associate, 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.
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
Requirements
• At least 2 years of Due Diligence experience at a Broker Dealer
• College degree in a buiness related field is required
• 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
Nice-to-haves
• Securities licensing a plus
Benefits
• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Apply tot his job
Apply To this Job
Cetera Financial Group (“CFG”) is a network of independent broker-dealers located throughout the country. CFG is currently seeking a Due Diligence Associate to assist with the due diligence review of all products offered by Cetera Financial Group.
The Due Diligence Associate, 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.
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
Requirements
• At least 2 years of Due Diligence experience at a Broker Dealer
• College degree in a buiness related field is required
• 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
Nice-to-haves
• Securities licensing a plus
Benefits
• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Apply tot his job
Apply To this Job