Due Diligence Analyst

H.C. Wainwright & Co., LLC; New York (NY); On-site; USD 60,000 - 80,000; Full time

Job summary

H.C. Wainwright & Co., LLC seeks an experienced due diligence analyst or associate to join our market leading corporate finance team in New York, Miami, or remotely.

The ideal candidate has at least 2 years in due diligence within an investment bank, accounting firm or law firm, with familiarity of 10-K/10-Q/Proxy filings and securities transactions. Responsibilities include liaising with management, performing CDD/EDD and AML/OFAC research, preparing diligence materials, and maintaining firm

Qualifications

• BA/BS or equivalent required.
• 2+ years in due diligence in IB, accounting firm, or law firm.
• Familiar with SEC filings (10-K/10-Q/Proxy) and securities transactions.
• Strong research using social media, databases and search engines.

Responsibilities

• Coordinate with senior management and legal teams to complete due diligence.
• Perform CDD/EDD and AML/OFAC research efforts.
• Prepare diligence questionnaires, financial models, reports, and related documents.
• Identify red flags, gaps, and risk factors in diligence materials.
• Search SEC filings and public sources to gather diligence information on prospects.
• Maintain organized filing systems and firm databases for diligence work.
• Support day-to-day diligence tasks and KYC/AML processes.

Skills

Social media research

Legal databases

Data analysis

Due diligence

Education

BA/BS or equivalent

Tools

SEC filings

Job description

H.C. Wainwright is seeking an experienced due diligence analyst or associate to join our market leading corporate finance team.

The ideal candidate will have at least 2 years of significant experience in due diligence within an investment bank, accounting firm or law firm. Familiarity with corporate transactions and SEC filings, such as 10-K, 10-Q and S-3 with an emphasis on securities offerings strongly preferred.

The position can be located in New York or Miami. We will also consider remote applicants.

RESPONSIBILITIES:

• Liaising with client senior management, investment banking teams, legal counsel, consultants, auditors and others involved in the offering process to complete due diligence.
• Performing all tasks related to business customer on-boarding using Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and AML/OFAC research efforts and strategies.
• Assisting the team in managing the transactional due diligence process, including the review and preparation of diligence questionnaires, financial models/reports, commercial agreements, press releases, news articles, social media posts, background checks and other key diligence items.
• Assessing the accuracy, completeness and quality of diligence documentation, high risk factors, red flags, past transactions, negative news, and thorough risk mitigation for clients and potential clients.
• Performing searches utilizing Internet sources, public SEC filings, social media, legal databases and/or third-party vendors to determine negative news, identify key issues and obtain due diligence information for prospects and new/existing customers.
• Assessing Company public filings and risk factors to ensure proper disclosure and proper dissemination of information from diligence findings.
• Analyzing client data to identify financial and operating trends, liquidity issues, working capital considerations, and potential liabilities and risks.
• Communicating diligence findings effectively with peers, firm management and clients when requesting information or documentation and addressing concerns or findings.
• Managing the firm’s internal systems and assisting in validation, tuning and optimization of various processes and tools.
• Maintaining an organized office and electronic filing system for diligence efforts surrounding transactions completed by clients.
• Maintaining various firm databases and lists for day to day use.
• Supporting the diligence team in day-to-day tasks, including filing documents, scheduling calls/meetings, organization, running KYC/AML procedures and database maintenance.

REQUIRED QUALIFICATIONS:

• BA/BS or equivalent.
• Must have a minimum of 2 years of experience with a focus on due diligence, legal securities law matters and/or consulting preferably at an investment bank, due diligence outsourcing firm, consulting firm, or a law firm focused on securities transactions.
• Strong understanding and ability to utilize social media, databases, search engines, legal databases.
• Experience with securities transactions and a familiarity with public company SEC filings such as 10-K, 10-Q, Proxy and other documents.
• Have the ability to find, navigate, collect and understand industry reports, SEC filings, data rooms, legal dockets, regulatory issues and SEC filings.
• Ability to manage multiple projects in a high-pressure environment.
• Excellent organizational, time management and prioritization skills with a sense of urgency.

Compensation: $60K-$80K

About H.C. Wainwright:

H.C. Wainwright was established in 1868 and is a New York City based boutique healthcare investment bank. The company is dedicated to providing corporate finance, strategic advisory and related services to public and private growth companies across multiple sectors and regions.