About this role
Role Overview
- 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
- Other duties as assigned.
Requirements
- At least 2 years of Due Diligence experience at a Broker Dealer
- FINRA Series 7 Registration (or ability to obtain within first 6 months of employment)
- College degree in a business-related field is preferred
- 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
Benefits
- Competitive performance-based bonus
- Up to 10% travel requirements