Due Diligence Analyst (Broker/Dealer, RIA, Product Review Specialist)

Position Summary

The Due Diligence Analyst is responsible for reviewing SFA’s current and future product needs while sourcing products with product sponsors to increase the Firm’s offerings for the Advisor’s and ultimately their clients.

Essential Functions

• Evaluate sponsor and issuer organizations through interviews with executive team, onsite visits, a review of legal and ownership structure, corporate governance structure, regulatory and litigation history, business succession plans. This review is designed to highlight concerns about concentration of authority, propensity for risky business activity, lack of segregation of liability between different lines of business, and possible risks of a change in control through business succession.
• Analyze alternative investments and investment advisory products for broker dealer platform. This includes a comprehensive review of offering documents, financial statements, market data, performance data, SEC filings, financial models (testing of proformas), organizational and governance documents, advisory agreements, leases, tax opinions, selling agreements, and other legal documents. Based upon review, draft report that discusses structure of investment and highlights material considerations related to issuer and sponsor (e.g., financial stability, performance, model assumptions).
• Sample Reviews include Private Reg D programs, publicly-registered REIT’s; BDC’s’ Interval Funds and asset managers.
• Perform quarterly evaluations of financial statements.
• Draft comprehensive due diligence reports based upon analysis, highlighting material considerations (e.g., performance, fees, use of leverage, departure of key personnel, financial health, and pending litigation).
• Present investment analysis to senior management, product review committee and respond to questions.
• Troubleshoot outstanding product issues on behalf of DD department.
• Develop/maintain relationships with sponsors, to include updates on existing and upcoming products.
• Maintain department records of program open, close and pipeline information on products.
• Provide comparison analysis on product types and strategies for Advisors and Investment Committee.

Qualifications

• Bachelor’s degree required in Finance or related fields
• CAIA certification, CFA Level 1 or greater and/or CPA desired
• Series 7 & 24 licensing preferred
• Minimum of three to seven years’ proven and demonstrated experience in reviews of alternative investments
• Exceptional verbal, written and presentation skills (grammar, writing, and editing) to interact professionally with individuals both within the firm and outside representatives
• Above average ability to be flexible, organize, manage time and set/shift priorities while meeting deadlines required
• A team player with the ability to cultivate a team spirit within the department as well as maintain interdepartmental positive
• Effective problem analysis and resolution skills
• Ability to interpret, adapt, and apply Organizational guidelines and procedures within the position and the department
• Proficiency with Microsoft Office Products (Word, Excel, PowerPoint) with advanced Excel required

Medical, dental, vision, FSA, disability, life, 401k match, stock options, bonus, holiday & PTO