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, FinTech 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.Key ResponsibilitiesThird-Party Due Diligence & Research

Lead and manage complex due diligence questionnaires, inquiries, and research requests from broker-dealers, RIAs, FinTech 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.

Platform & Product Support

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.

Executive Briefings & Meeting Support

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.

Collaboration & Leadership

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.

QualificationsEducation

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

Experience

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, FinTech, or intermediary distribution platform reviews preferred.Experience with alternative investments, product review processes, investment research, platform evaluations, or sales enablement materials strongly preferred.

Certifications

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

Skills & CompetenciesThe 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.