Due Diligence Analyst

Steward Partners; United States; On-site; USD 100,000 - 140,000; Full time

Job summary

Steward Partners is a full-service independent private financial services firm delivering wealth planning, asset management, private banking and advisory services. The Due Diligence Analyst will evaluate investment products, managers and sponsors, conducting independent due diligence and presenting findings to governance committees.

The role requires at least 5 years in related financial services, with strong quantitative, communication and collaboration skills to support policy, training and

Qualifications

• Minimum 5 years of experience in investment due diligence, manager research, product management, investment consulting, institutional research, risk management, or a related financial services discipline.
• Strong background in researching and evaluating investment products including complex/alternative investment products.
• Knowledge of products and markets, particularly alternative investments, investment advisory programs, retail brokerage, banking products, annuities, and insurance.
• Ability to manage delivery/execution of a wide range of tasks and initiatives.
• Strong verbal and written communication skills.
• Ability to work independently and collaboratively in a fast-paced environment, with a proactive and solutions-oriented approach.
• Detail-oriented with strong analytical and problem-solving abilities.
• Clear communicator able to explain complex risks in practical terms.
• Undergraduate degree or equivalent work experience required.
• Active Series 7 required; Series 24 or willingness to obtain additional registrations is preferred.
• MBA, CFA, FRM, CAIA not required but viewed favorably.

Responsibilities

• Conduct initial and ongoing due diligence on investment managers and investment products.
• Create and present technical due diligence reports, risk assessment considerations, and recommendations to the firm’s Product Review Committee, Senior Officers, and other stakeholders.
• Monitor the performance of approved product offerings and sponsor activities.
• Maintain documentation supporting product approval, monitoring, watchlist, and termination decisions.
• Review offering documents, private placement memoranda, and regulatory filings to identify material changes or emerging risks.
• Ensure compliance with FINRA Rule 5123.
• Manage the distribution and collection of due diligence questionnaires. Analyze responses and present findings to Senior Officers.
• Support maintenance of policies and procedures governing product due diligence program.
• Collaborate on initiatives with cross-functional teams including Product Management, Supervision, and Compliance.
• Assist with the creation of product training materials.
• Stay abreast of industry developments, regulatory matters, and market events impacting funds, managers, clients and the wealth management industry and advise stakeholders accordingly.

Skills

Investment due diligence

Manager research

Financial analysis

Risk management

Verbal and written communication

Independent work

Problem-solving

Attention to detail

Education

Bachelor's degree or equivalent

Tools

Excel

PowerPoint

Word

SharePoint

Job description

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering wide-ranging client service with an unwavering commitment to excellence.

Position Overview:

The Due Diligence Analyst will play a key role in the evaluation, monitoring, and oversight of investment products, managers, and sponsors offered across the firm's platform. The position is responsible for conducting independent investment and operational due diligence, identifying material risks, and providing actionable recommendations to senior management and governance committees. This role serves as a critical component of the firm's product governance framework and contributes directly to protecting advisors, clients, and the firm's reputation. The successful candidate will demonstrate sound judgment, intellectual curiosity, strong analytical rigor, and the ability to communicate complex investment and risk concepts to both technical and non-technical audiences.

Duties and Responsibilities:

• Conduct initial and ongoing due diligence on investment managers and investment products.
• Create and present technical due diligence reports, risk assessment considerations, and recommendations to the firm’s Product Review Committee, Senior Officers, and other stakeholders.
• Monitor the performance of approved product offerings and sponsor activities.
• Maintain documentation supporting product approval, monitoring, watchlist, and termination decisions.
• Review offering documents, private placement memoranda, and regulatory filings to identify material changes or emerging risks.
• Ensure compliance with FINRA Rule 5123.
• Manage the distribution and collection of due diligence questionnaires. Analyze responses and present findings to Senior Officers.
• Support maintenance of policies and procedures governing product due diligence program.
• Collaborate on initiatives with cross-functional teams including Product Management, Supervision, and Compliance.
• Assist with the creation of product training materials.
• Stay abreast of industry developments, regulatory matters, and market events impacting funds, managers, clients and the wealth management industry and advise stakeholders accordingly.

Skills, Experience & Qualifications:

• Minimum 5 years of experience in investment due diligence, manager research, product management, investment consulting, institutional research, risk management, or a related financial services discipline.
• Strong background in researching and evaluating investment products including complex/alternative investment products
• Knowledge of products and markets, particularly alternative investments, investment advisory programs, retail brokerage, banking products, annuities, and insurance.
• Ability to manage delivery/execution of a wide range of tasks and initiatives
• Strong verbal and written communication skills
• Ability to work independently and collaboratively in a fast-paced environment, with a proactive and solutions-oriented approach.
• Detail-oriented with strong analytical and problem‑solving abilities.
• Clear communicator able to explain complex risks in practical terms.
• Undergraduate degree or equivalent work experience required.
• Active Series 7 required; Series 24 or willingness to obtain additional registrations is preferred.
• MBA, Chartered Financial Analyst (CFA), Financial Risk Manager (FRM), and/or Chartered Alternative Investment Analyst (CAIA) not required but viewed favorably.
• Strong proficiency in Microsoft Excel, PowerPoint, Word, and SharePoint.