Senior Due Diligence and Research Specialist

We are seeking an experienced and analytical Senior Due Diligence & Research Specialist to play a key role in supporting third-party due diligence, investment research, and platform review activities across broker-dealers, RIAs, Fin Tech platforms, and other distribution partners.

This position is ideal for a financial services professional who thrives in a highly collaborative environment and enjoys combining investment knowledge, analytical research, and cross-functional leadership to support business growth and strategic distribution relationships.

Working with a high degree of independence, you will manage complex due diligence requests, evaluate investment and platform information, prepare executive-level briefing materials, and serve as a trusted resource to internal stakeholders.

• Lead and manage complex due diligence questionnaires, inquiries, and research requests from broker-dealers, RIAs, Fin Tech platforms, and external research organizations.
• Analyze investment, product, platform, and market information for accuracy, consistency, completeness, and potential risk considerations.
• Identify information gaps and coordinate follow-up efforts to ensure high-quality and timely responses.
• Maintain and enhance due diligence databases, questionnaires, platform profiles, research repositories, and related documentation.

• Support product and platform review activities by gathering, validating, and organizing information from multiple internal stakeholders.
• Partner with Product, Investments, Operations, Legal, Compliance, Finance, and Sales teams to ensure consistent and accurate responses.
• Monitor industry trends, competitive intelligence, and market developments and communicate relevant findings to key stakeholders.

• Prepare executive-ready summaries, due diligence materials, briefing notes, talking points, and presentation support documents.
• Support due diligence meetings, platform reviews, conference calls, and on-site visits.
• Document research outcomes, platform requirements, review status, and associated risks in accordance with established processes.

• Coordinate timelines, approvals, deliverables, and follow-up actions to ensure deadlines are met.
• Provide senior-level research and analytical support to Sales and Account Management teams.
• Serve as a resource to team members by sharing knowledge, reviewing work quality, and offering guidance on due diligence processes and best practices.

• Bachelor's degree in Finance, Economics, Business Administration, Accounting, or a related field.

• 8+ years of experience in investment management, asset management, due diligence, product management, investment research, wealth management, capital markets, or a related financial services environment.
• Strong knowledge of investment products, financial markets, business analysis, and due diligence methodologies.
• Experience supporting broker-dealer, RIA, Fin Tech, or intermediary distribution platform reviews preferred.
• Experience with alternative investments, product review processes, investment research, platform evaluations, or sales enablement materials strongly preferred.

• FINRA licenses preferred or willingness to obtain, as applicable.
• CFA or CAIA designation, or meaningful progress toward completion, strongly preferred.

The successful candidate will demonstrate:

• Exceptional written and verbal communication skills, including the ability to translate complex investment information into clear, actionable insights.
• Advanced analytical and problem-solving abilities.
• Strong attention to detail, accuracy, documentation quality, and risk awareness.
• The ability to independently manage multiple complex projects from initiation through completion.
• Strong organizational and project management skills.
• Experience collaborating across multiple business functions and influencing stakeholders to achieve results.
• Proficiency in Microsoft Excel, Word, PowerPoint, Outlook, and research/data management systems.