Oracle Cloud ERP · 2 months ago
Due Diligence Associate
Dallas, TX, United States
Full-time
Hybrid
Entry, Mid Level
$20.65/hr - $33.15/hr
2+ years expCetera Financial Group is a network of independent broker-dealers, and they are seeking a Due Diligence Associate to assist with the due diligence review of all products offered by the firm. The role involves reviewing mutual funds and ETFs, generating review memos, and maintaining the firm’s approved product list while collaborating with various stakeholders.
Information Technology & Services
Responsibilities
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
Organize and maintain due diligence filing systems, file correspondence, and other due diligence related records
Qualification
Required
At least 2 years of Due Diligence experience at a Broker Dealer
College degree in a business related field is required
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
Preferred
Securities licensing a plus
Benefits
Competitive performance-based bonus
Company
Oracle Cloud ERP
Oracle Cloud ERP is a software as a service, SaaS, solution for businesses to control and manage multiple facets of their business.
10001+ employees
Funding
Current Stage
Late StageCompany data provided by crunchbase