Director, Due Diligence

The Director, Due Diligence leads the firm’s product research and oversight program, ensuring a competitive, compliant, and strategically aligned product shelf across annuities, insurance, mutual funds, alternatives, and managed accounts. The role oversees product evaluations, conducts operational and regulatory reviews of asset managers, and delivers documentation and recommendations to governance committees. With strong expertise in industry products, regulations, and risk expectations, the Director maintains robust due‑diligence policies, governance processes, and audit‑ready records while developing and mentoring a high‑performing team.

• Lead and improve the firm’s product due‑diligence framework, maintaining policies, procedures, governance charters, and control structures to ensure consistent, auditable processes.

• Evaluate a broad range of products—annuities, insurance, mutual funds, ETFs, managed accounts, UITs, structured products, and alternatives—using qualitative and quantitative criteria. Analyze product providers, managers, and operational processes.

• Maintain a competitive, compliant product shelf by reviewing market trends, product performance, inflows/outflows, client behavior, and regulatory expectations to identify gaps and opportunities.

• Assess asset managers’ operational controls, compliance programs, valuation practices and reporting. Lead due‑diligence visits and review financial statements and control reports.

• Maintain thorough documentation to support FINRA, SEC and state examinations. Ensure product decisions meet regulatory standards and internal risk parameters in partnership with compliance, legal and risk.

• Present product recommendations and risk assessments to governance committees and maintain committee documentation in coordination with internal audit and oversight groups.
• Oversee the product portfolio with focus on sales impact, profitability and advisor adoption. Contribute to market research, pricing, provider strategy and product roadmaps.

• Partner with distribution, marketing, operations and technology to ensure accurate product information and training. Provide advisors and supervision teams with research and product insights.

• Produce detailed due‑diligence reports and ensure all decisions and analyses are fully documented for regulatory review.

• Lead, mentor and develop the due‑diligence team while driving strategic initiatives that advance research capabilities and adapt processes to industry and regulatory change.

• Bachelor’s degree in finance or related field, or equivalent experience.
• 15+ years of Product Due Diligence experience in financial services.
• Deep knowledge of annuities, life insurance, mutual funds, ETFs, managed accounts, structured products and alternatives.
• Strong understanding of market trends, product economics and competitive analysis.
• Expertise in quantitative and qualitative evaluation (performance, expenses, risk, structure, manager reviews).
• Knowledge of operational due‑diligence areas including controls, trade processing, valuation, NAV and compliance programs.
• Strong grasp of broker‑dealer regulatory frameworks (Reg BI, FINRA, SEC) and their impact on product approval and oversight.
• Familiarity with private‑investment due‑diligence best practices and evolving regulatory standards.
• Ability to develop policies, procedures, governance charters and audit‑ready documentation.
• Skilled in assessing complex product structures (crediting methods, riders, alternative strategies).
• Ability to manage a full product portfolio with focus on competitiveness, profitability and strategic alignment.
• Experience defining KPIs, identifying shelf gaps and aligning offerings with business and customer needs.
• Capable of conducting market research, shaping product roadmaps and influencing pricing and…