BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
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Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:
545-17

Job Type:
Permanent

Title:
Due Diligence Leader (545-17)

Location:
Midwest

Description:
The Leader works under the direction of the Due Diligence and Product
Services Leadership and analyzes and consults on various aspects of the Due
Diligence department.

RESPONSIBILITIES:
Analyze and appraise a wide variety of investment products and investment
managers including third party service providers on a rotating schedule
Interact with other departments to gather due diligence information,
document and report on findings, drawing conclusions citing specific
concerns and making recommendations for continued development of operational
due diligence procedures and product availability
Coordinate, prepare, and present in due diligence meetings with senior
management to discuss potential and existing products and strategists and
evaluate their processes, policies, procedures and controls
Communicate with investment product companies and investigate their programs
Provide ?best-in-class? customer service related to Due Diligence Product
Services information and supply information as needed at request of
management, company associates, and rep-advisors and track open issues with
consistent follow-up to ensure issues are resolved
Lead practices and objectives to enable a high performance culture
emphasizing quality, productivity and standards, and goal attainment
including documenting Due Diligence processes
Maintain comprehensive knowledge by monitoring SEC filings and other reports
from public programs regarding due diligence

REQUIREMENTS:
Bachelor?s degree from four-year College or university; or three to five
years related experience and/or training; or equivalent combination of
education and experience.
FINRA Series 7, Series 24 and Series 66 licenses are required
CFA or CFP preferred
Previous experience using MS Office (Excel, Word, PowerPoint, etc.)
Ability to express ideas clearly both in written and oral communications
Ability to travel locally within a specific geographic area; limited travel
outside a specific geographic area (some overnight travel)
Strong multi-tasking skills
Ability to effectively present information in one-on-one and small group
situations to customers, clients, and other employees of the organization
Ability to read, analyze, and interpret the most complex documents Ability
to respond effectively to the most sensitive inquiries or complaints
Ability to write speeches and articles using original or innovative
techniques or style


Category:
Alternative Investments // Asset Management // Banking // Broker Dealer // Compliance and Legal // Consulting

Contact:
zach@bcius.com