Due Diligence Analyst Resume Samples

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L Brekke

Lina

Brekke

44726 Jocelyn Forges

San Francisco

+1 (555) 725 0122

44726 Jocelyn Forges

San Francisco

Phone

p +1 (555) 725 0122

Experience Experience

Philadelphia, PA

Due Diligence Analyst

Philadelphia, PA

Bogisich-Vandervort

Philadelphia, PA

Due Diligence Analyst

Prepare and review fund governing document abstracts for underlying fund governing documents including a review of underlying fund liquidity provisions
Assist in ensuring ongoing due diligence efforts and KYC are maintained while identifying substantive changes to customer profiles
Assist in conducting AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank’s policies and procedures
Assists in maintaining and publishing various reoccurring reports in regards AMS products and investment topics
Complete all job-related training in a timely manner and attend seminars or continuing education, as directed
Perform AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank's policies and procedures
Communicate effectively with peers, front-line and management when requesting information or documentation and addressing concerns or findings

Los Angeles, CA

Enhanced Due Diligence Analyst

Los Angeles, CA

Spencer LLC

Los Angeles, CA

Enhanced Due Diligence Analyst

Creates risk acceptance documentation to support the raising or downgrading of high-risk customers for management approval
Establish working relationships with key business partners across all lines of business
Provide support and guidance to bank’s operational areas and assist with implementation of KYC related programs for the bank
Assist with internal audit and federal regulatory examinations
BSA / AML Operations team members will work on wire monitoring reports, Searchspace alerts, and suspicious activity referrals
Assist with special projects and data gathering for audit and/or regulatory purposes
Work in a team oriented and collaborative environment to ensure overall unit goals and deadlines are met

present

Philadelphia, PA

Operational Due Diligence Analyst

Philadelphia, PA

Muller Inc

present

Philadelphia, PA

Operational Due Diligence Analyst

present

Working closely and effectively with key stakeholders across the wealth and investment management businesses
Develop ideas of possible improvements to the process
Write detailed reports containing comprehensive information and analysis related to the business and operational environment at the hedge funds which are published to the investment team
Review manager and fund documentation including Formation Documents, Offering Memorandums, Service Provider and Financing Agreements
Evaluate the overall quality of hedge fund systems, controls, infrastructure and personnel in order to identify issues relevant to the overall investment decision
Prepare BAA ODD Primary for onsite operational reviews with hedge fund managers CFOs, CCOs, and other operational management and personnel
Conduct onsite due diligence reviews on third party managers and service provider operational support, internal controls, trade processing, and employees

Education Education

Bachelor’s Degree in Finance

Rowan University

Bachelor’s Degree in Finance

Skills Skills

Demonstrate ability to make quick, yet sound decisions, and communicate negative and adverse messages professionally
Demonstrated ability to make quick, yet sound decisions, and communicate negative and adverse messages professionally
Strong attention to detail
Strong written and verbal presentation skills; excellent client-facing public relations skills
Excellent PC Skills, including Internet Research, Microsoft Excel, Access, Word; ability to learn new database applications
General knowledge of Retail Investment products with Alternative Investment Product Due Diligence
Excellent research skills including experience with online search tools
Excellent organizational, time management and project management skills
Knowledgeable of laws, regulations and guidance related to Senior Public Figures (PEPs), Global Economic Sanctions Programs, AML, Consumer Fraud Prevention Programs
Knowledge of conversational Hindi is major

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15 Due Diligence Analyst resume templates

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Due Diligence Analyst Resume Examples & Samples

Participates in analyst teams to provide job related input
Participates in maintaining "A Closer Look", the Due Diligence booklet of RJCS manager portfolio characteristics and performance reports, published on a quarterly basis
Attends conference calls and meets with portfolio managers and analysts concerning investment processes and products
Assists in generating creative new projects from Excel, Access, Word, Informa PSN, FactSet, Callan, Morningstar, and Mercer
Maintains spreadsheets and databases related to portfolio analysis
Assists with requests for immediate projects and also investment performance-type questions from AMS Sales Team and Financial Advisors
Fundamental concepts, practices, and procedures of Due Diligence
Quantitative and qualitative understanding of the investment management business and performance measurement
Performance calculations
Analyzing financial information
Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets
Meet many deadlines to provide quarterly and monthly data to internal associates and external Financial Advisors
Work independently as well in a team environment
Bachelor's Degree (B.A.) in related field and a minimum one (1) year of experience at a broker/dealer or investment firm

Operational Due Diligence Analyst Resume Examples & Samples

Assist in the development and maintenance of a formal AIG operational due diligence plan. Update design as needed on a regular basis
Perform operational risk reviews of funds. Prepare written reports based on these reviews
Conduct onsite due diligence reviews on third party managers and service provider operational support, internal controls, trade processing, and employees
Evaluate accounting and reporting processes and controls including cash management, valuation practices, and NAV analysis
Review financial statements and any other relevant reports on the firms' control environments
Analyze funds' adherence to internal compliance policies and regulatory requirements
Create and execute an annual project plan to cover all required operational due diligence reviews
Willingness to embrace technology and employ lessons learned to improve operational due diligence processes
Interact with Raymond James Financial Advisors to answer questions about the operational infrastructure of funds on the Raymond James platform
Actively support the AIG product teams' efforts to ensure platform competitiveness and advisor satisfaction while meeting the firm's regulatory/oversight responsibilities
Develop and/or distribute topical reports to educate advisors on pertinent regulatory updates or industry trends related to operational due diligence topics
Maintain an archive of relevant regulatory updates and educational materials that may be easily referenced by advisors and other employees of the AIG team
Operations of broker dealers, hedge funds, and private equity firms
Fund accounting procedures and audit
Understanding of major securities acts and how they apply to alternative investment funds
Analyzing financial information including audited financial statements
Produce accurate information on products and projects
Exhibit excellent written, verbal and interpersonal communication skills, as this position will be a contact point for Financial Advisors who wish to talk in detail about all aspects of AIG and specifics about investment managers and performance reporting
Attend to detail while maintaining the big picture orientation
Bachelor's Degree (B.A.) in accounting or finance and a minimum of five (5) of experience at a broker/dealer or hedge fund or private equity firm

Senior Operational Due Diligence Analyst Resume Examples & Samples

Assisting with the ongoing monitoring of existing external managers within the AI and EMS platforms
Performing initial due diligence reviews of external managers. This involves preparation for and participation in manager operational due diligence meetings including onsite interviews with CFOs, COOs, CCOs and other back office operations personnel as well as a review of the external managers’ operational infrastructure, internal controls, trade process and valuation practices
Performing reviews of fund legal documents, audited financial statements and documents related to the back office operations and compliance of prospective and existing investment managers
Reviewing third party service provider relationships and agreement terms as well as performing onsite reviews of these service providers
Forming opinions related to potential operational risks and presenting findings to the Head of Operational Due Diligence and to Senior Management
Preparing detailed operational due diligence and risk assessment reports
Keeping abreast of market developments, industry trends and regulatory matters that could impact alternative and long only investment managers or due diligence procedures
Assisting and performing ad hoc projects and reviews related to the operational due diligence function as necessary
Bachelor’s degree required, preferably in finance or accounting
A minimum of 5 years relevant experience conducting operational due diligence reviews of investment advisors in the alternative investments space including hedge funds, private equity and real estate
Ability to document a thesis and form opinions and articulate concerns/issues effectively to other team members
Flexible attitude
Highly motivated and self-starter
Flexibility to travel
Proficiency in Microsoft Word, Excel, Outlook, and PowerPoint a must

Ipb-due Diligence Analyst Resume Examples & Samples

At least 1 year of relevant experience in KYC/AML/Due Diligence or 2 years of banking experience preferred
Knowledge of AML/KYC policies including bank systems, applications and due diligence processes
Strong analytical and comprehension skills, with ability to analyze and document large amounts of data
Strong documentation skills to clearly articulate disposition
Adherence to controls and compliance standards
Detailed, well organized, self starter, capable of working under minimum supervision
Able to multi-task and meet deadlines in a high-pressure environment
Strong interpersonal skills; results-oriented team player

Operational Due Diligence Analyst Resume Examples & Samples

Support the work and processes of the lead operational due diligence analyst
Prepare detailed operational diligence write ups
Follow the protocols of Guggenheim’s operational risk management effort
Maintain qualitative and quantitative information for prospective and approved hedge fund managers within the firm’s proprietary databases
Participate in ad hoc research projects
Provide support to internal investment professionals and other business partners
1-2 years of experience in an accounting, auditing, or regulatory role/internship
Undergraduate degree in accounting or finance, with top grades and strong quantitative background
Knowledge of and interest in capital markets, business/operational risk analysis, and hedge fund investing
Ability to communicate well, both orally and in writing; excellent attention to detail
Proactive approach and an active listener/interpreter
Demonstrated ability to work effectively in a team-oriented environment
Fluency in Arabic, Hindi, Portuguese, French, or Turkish preferred but not required

Operational Due Diligence Analyst Resume Examples & Samples

Prepare BAA ODD Primary for onsite operational reviews with hedge fund managers CFOs, CCOs, and other operational management and personnel
Execution of onsite due diligence reviews on hedge fund operational support structure, internal controls, trade processing environments and process flows
Evaluate accounting and reporting processes and controls including cash management, valuation practices, and NAV analyses
Audited financial statement reviews to validate appropriateness and evaluate risks
Review third party vendor relationships, agreement terms and perform onsite reviews of certain providers
Obtain detailed understanding of counterparty exposures, financing terms and conditions and unencumbered cash
Review hedge funds’ legal documentation
Assess appropriateness of compliance procedures, regulatory reporting and examination results
Contribute to the overall operational risk measurement, monitoring, and reporting environments
Prepare operational due diligence reports for communication to management
Develop market intelligence and industry best practice by liaising with fund managers, administrators, valuation agents, non-executive directors, prime brokers, external auditors, and attorneys
Experience of 2-6 years direct hedge fund industry experience or in public accounting focusing on hedge fund clients
BA/BS required; CPA desirable as well as interest in pursuing CFA charter
Superior analytical and organizational skills
Strategic planning and ownership of outcomes
Demonstrated track record of sound and accurate judgment
Ability to balance the need to be highly hands-on in a team oriented environment
Naturally aligned with a defined set of key corporate values, including fiduciary responsibility, passion for performance, team orientation and innovation

Business / Operational Due Diligence Analyst Resume Examples & Samples

A minimum of five or more years of experience in the analysis of hedge funds and their operations, as a credit analyst, auditor, or fund of funds analyst,
Bachelor's degree from a top- tier educational institution is required, preferably in Accounting, Business,Computer Science, Economics, Finance or a related field
Deep knowledge of the hedge fund industry and financial/operational aspects of managers is required

Client Due Diligence Analyst Resume Examples & Samples

Track record in excellent service delivery
Ability and willingness to use discretion appropriately
Ability to successfully manage complex and non-routine issues

Due Diligence Analyst Resume Examples & Samples

Assists in maintaining and publishing various reoccurring reports in regards AMS products and investment topics
Identifies potential process improvements to increase efficiency in processing or analyzing due diligence
Assists in interpreting investment performance, with thorough knowledge of all performance formulas, calculations, and understanding of CFA/GIPS and SEC Compliance
Attends or hosts conference calls and meets with portfolio managers and analysts as well as other subject matter experts concerning investment processes and products
Assists in generating or maintaining projects from Excel, Access, Word, Informa PSN, FactSet, Callan, Morningstar, EnCorr and Mercer
Intermediate concepts, practices, and procedures of AMS investment research
Intermediate investment concepts, practices and procedures used in the securities industry
Assist in leading meetings and contribute to team efforts by ensuring all relevant information is included in the outcomes
Bachelor's Degree (B.A.) in related field and a minimum of three (3) of experience at a broker/dealer or investment firm

Client Due Diligence Analyst Resume Examples & Samples

5 years financial services experience
3 or more years of experience in documentation, compliance, legal or client service operations
Prior experience interpreting policies and procedures associated with AML/BSA
Basic knowledge of banking services and products
Knowledge of MS Office: Word, Excel and Outlook, internet search engines

Senior Client Due Diligence Analyst Resume Examples & Samples

Complete due diligence on new accounts to ensure compliance with requirements of the BSA and bank’s policies
Verify Client Profile requirements and AML guidelines and approve new accounts
Perform searches and sanction checks as required for client due diligence
Escalate all High Risk clients to AML Compliance in line with current policy. Regularly review, maintain and update Client On-boarding documentation, policies and procedures to ensure seamless correlation with AML and Client Due Diligence policies established by Compliance
Comply and provide guidance as to compliance with controls and procedures of Client due Diligence policy covering all aspects of account opening and maintenance process
Liaise with and provide advice to front office and documentation staff in Compliance issues related to other RBC affiliated businesses
Perform periodic reviews of accounts as required by policy
Actively participate in developing, testing and implementing new or enhanced processes and other process improvement initiatives
Proactively resolve queries received from front office and documentation unit, or highlighting and escalate issues on timely manner
Establish and maintain effective relationship with business partners
Maintain highest standards of audit and compliance requirements
Provide training and guidance to new staff
Proactively seek for process improvements and delivering the ideas
Provide the senior management team with accurate and informative data and reports on account opening metrics, current workloads, quality of client profiles and new account documentation, as well as comments on issues that have impacted the account opening process (quality controls)
6 years financial services experience in a compliance, AML/BSA oversight type role
Demonstrated understanding of KYC, client due diligence and AML/BSA regulations
Ability to multitask and manage to tight timelines and deliverables
Ability to work on a fast paced environment, able to prioritize and work in an organized fashion
Ability to work under pressure with a heavy work load
Ability to operate successfully in a rapidly changing environment
BA/BS degree in Business, Finance or similar field

Enhanced Due Diligence Analyst Resume Examples & Samples

Performs initial and ongoing EDD reviews of the highest-risk customers in the Payment Services lines of business
Conducts qualification reviews of high- and moderate-risk customers and determines the appropriate risk rating
Creates risk acceptance documentation to support the raising or downgrading of high-risk customers for management approval
Ensures Payment Services lines of business are in compliance with applicable laws, rules, regulations, and corporate policies related to EDD
Maintains a high level of compliance awareness and knowledge to effectively support EDD and other related areas of responsibility
Recommends customers for closure and for further investigation where risk tolerances are exceeded based on EDD reviews; and
Three to five years of financial experience in the compliance, BSA/AML, or Sanctions Screening (OFAC) disciplines, including
Comprehensive understanding of AML/BSA/OFAC regulations. A self-directed and independently motivated individual, who places a high value on organizational skills and maintains strong business acumen
Successful employment record with a multitude of resources, including varying knowledge, tenure, and managerial skill levels
Ability to be flexible in a dynamic environment and can adapt to situational changes with ease and fluidity
Knowledge of government (federal, state and local) and regulatory laws and regulations
Strong organization and analytical skills
Excellent interpersonal, verbal, and communication (including presentations) skills
Prior card issuing or merchant acquiring background

Operational Due Diligence Analyst Resume Examples & Samples

Conduct on-site operational due diligence meetings of external asset managers as part of the ODD program. These meetings discuss all areas of operations to assess the strength of the organization and its ability to mitigate operational risk
Document due diligence meetings conducted in the specified report template and present findings to the regional research committee
Perform regulatory research and reviews for managers
Analyze underlying manager financial statements
Research foreign markets to assess regulatory and tax issues involving trading/establishing a local presence in those markets
Assist team members on special projects
Perform due diligence reviews on administrators that support underlying hedge fund managers
Meet with prime brokers and other industry participants
Work closely with the global research teams
Work will primarily be New York based, but there is some travel across USA
3-5 years working in within an audit firm auditing investment products (hedge funds, mutual funds, private equity or venture capital) or the operations and/or audit departments of an asset management firm or; operational due diligence preferred
Bachelors degree required; other advanced degree or industry certifications a plus
Working knowledge of industry standards for the asset management industry, specifically hedge fund, including familiarity with policies, procedures and “best practices”
Knowledge of hedge funds and pooled investment products
Strong audit and/or operations experience required

Enhanced Due Diligence Analyst Resume Examples & Samples

BSA / AML Operations team members will work on wire monitoring reports, Searchspace alerts, and suspicious activity referrals
Experience with case management systems, databases and similar automation
Knowledge of the Bank�s mainframe systems and applications
Ability to multi-task and set priorities

Operational Due Diligence Analyst Resume Examples & Samples

Gather and organize prescribed data from hedge fund managers
Read and assimilate information provided by individual hedge fund managers
Read and analyze fund financial statements and other quantitative reports
Initiate and manage support provided by internal and external service providers
Field visits to hedge fund managers to interview staff and evidence operations
Conduct additional follow-up as needed
Write-up meetings
Assessment and score based on established Operational risk architecture
Organize results for filing and capture in firm relational database
Bachelors degree from accredited university. Finance or similar degree helpful, but not required
4-6 years’ work experience. Operational Due Diligence or comparable experience preferred
Strongly preferred (CPA, JD, CAIA, CFA) or similar designation
Excellent written and analytical skills
Experience with research databases (e.g. Lexis-Nexis)
Sound knowledge of finance and capital markets
Proficient with Microsoft Word, Excel, Powerpoint
Able to work independently with modest supervision
Ability to articulate information to both internal and external customers in a manner that is clear and easily understood
Able to mentor junior staff
Able to work with managers in a thoughtful and professional manner
Able to travel as needed (less than 25% of time)

Operational Due Diligence Analyst Resume Examples & Samples

Perform detailed operational due diligence on potential long-only investments and/or alternative investment managers, which include manager evaluation, verification, and documentation review
Monitor operational aspects of approved investments on an ongoing basis
Stay on top of regulatory changes in the financial industry
Perform other operations related responsibilities

Due Diligence Analyst, Ams Resume Examples & Samples

Participates in manager research teams to scrutinize professional money managers and their products for potential inclusion or exclusion from a multi-billion dollar fee-based platform
Participates in maintaining various Due Diligence materials and research reports that may include portfolio characteristics and performance data, published on a regular basis
Obtain and apply a working knowledge of FactSet to conduct holdings-based analysis and Callan for performance-based analysis of managed portfolios
Exhibit excellent written, verbal and interpersonal communication skills, as this position will be a contact point for Financial Advisors who wish to talk in detail about all aspects of AMS and specifics about investment managers and performance reporting
Read, interpret, analyze and apply information from professional publications

Bank Anti-money Laundering Enhanced Due Diligence Analyst Resume Examples & Samples

Conducting enhanced due diligence reviews of clients during the account opening process
Utilizing various third-party and internal databases to assist with due diligence searches
Assisting with the review of client accounts for potential matches to designated sanctions targets and prohibited persons lists
Participating in AML trainings of targeted divisions within the Firm
Have a 4 year college degree with outstanding academic credentials
Have excellent written and verbal communications skills, attention to detail and strong time management skills
Have developed investigative skills – inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal)
Have the ability to interact in a mature and professional manner with a variety of individuals
Have general knowledge of investing and markets and the ability to research or must evidence the ability to learn and adapt quickly
Have the ability to handle a fast paced environment with minimum supervision and successfully meet established deadline requirements; and
Be able to interact with branch and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
Be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire
1-3 years of previous experience with a bank government agency (e.g., OCC, FRB, or FDIC) or in a regulatory, compliance, or internal audit capacity within the banking industry
Compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices
Experience with Office of the Comptroller (“OCC”) regulations and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council (“FFIEC”)
Experience with mortgage, retail, institutional lending or FX businesses

Operational Due Diligence Analyst Resume Examples & Samples

Perform operational due diligence on alternative investment funds and managers (fund-of-funds, hedge funds, private equity, real estate, etc.) for new perspective managers and part of the ongoing monitoring process for existing relationships
Operational assessments include onsite meetings with senior professionals at the investment manager as well as meetings/calls with key service providers such as administrators, valuation agents, auditors, etc
Areas of focus for the review process include: Organizational Structure & Staffing, Fund Structure, Internal Operations & Controls, Valuation, Service Providers & External Oversight, Legal & Compliance, Information Technology & Business Continuity Planning, etc
Assess operational infrastructure and identify key risks, documenting findings in a written report
Work with managers to find solutions to correct any operational deficiencies identified during the operational due diligence process
Present findings and results to internal product approval committees, as necessary
7 to 10 years investment experience with operational knowledge related to alternative investment products and managers (fund-of-funds, hedge funds, private equity, etc.)

Wealth Management Anti-money Laundering Enhanced Due Diligence Analyst Resume Examples & Samples

4 year college degree with outstanding academic credentials
3-5 years AML experience and strong analytical skills
Excellent written and verbal communications skills, attention to detail and strong time management skills
The ability to interact in a mature and professional manner with a variety of individuals
General knowledge of investing and markets and the ability to research or must evidence the ability to learn and adapt quickly
Excellent judgment, initiative and adherence to deadlines
Ability to interact with branch and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s); and
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire
Must be able to maintain a positive and professional attitude in a fast-paced environment
Spanish or Portuguese a plus

Rmg-enhanced Due Diligence Analyst Resume Examples & Samples

Conduct enhanced due diligence reviews on higher risk counterparties and third party introducers / agents / vendors including analysing source of wealth, beneficial ownership, potential economic sanction programme breaches and other risk relevant information
Conduct risk assessments through the performance of investigative internal research using a variety of internet and third-party sources
Liaise with external third party vendors to undertake enhanced due diligence / business intelligence analysis of prospective / existing clients
Daily surveillance of clients accounts for adverse information
Liaise with various members of the AML and Sanctions Compliance Teams, the Client Onboarding Team and the businesses regarding enhanced due diligence research, findings and recommendations
Analysis of business specific and counterparty specific information and documentation to research and resolve issues
Analysis of country risk issues and performance of jurisdictional specific assessments
Degree educated with extensive research or AML compliance experience in a major international institution
In depth knowledge of financial markets and products
Knowledge / exposure to emerging markets and commodities would be an advantage
Strong analytical and risk assessment skills
Ability to adapt to new changes and new challenges
Client focused with persuasive communication skills both written and verbal, confidence in being challenged
A team member who builds strong, open relationships with clients and colleagues, but is also able to work independently, determine priorities and meet deadlines
Ability to prioritise work flows and ensure deadlines are met
Proactive, self motivated, detailed oriented and well-organised
Proficient project management skills
Foreign language skills would be desirable

Ipb-due Diligence Analyst Resume Examples & Samples

Conduct in-depth and timely due diligence reviews of IPB customers identified as 'high risk' to comply with the AML/KYC policies and procedures
Evaluate reasonableness of RM’s conclusion and highlight/escalate issues to management and/or compliance and follow up on corrective actions
Ensure completeness of documentation required during the review (e.g. disposition of name screening results)
Provide adequate documentation of the work performed for each case
Perform transaction reviews (large cash and overlay reports) to determine any potential AML concerns
At least 1 year of relevant experience in KYC/AML/Due Diligence or 2 years of banking experience is preferred
Strong analytical and comprehension skills with the ability to analyze and document large amounts of data
Detailed, well-organized, self-starter and capable of working under minimum supervision
Able to multitask and meet deadlines in a high pressure environment
Strong interpersonal skills and results-oriented team player

Operational Due Diligence Analyst Resume Examples & Samples

Perform operational due diligence on alternative investment funds and managers for new perspective managers and part of the ongoing monitoring process for existing relationships
Operational assessments will consist of either a review of DDQs/various manager documents for desk reviews or onsite meetings with senior professionals at the investment manager. Additionally, meetings/calls with key service providers such as administrators, valuation agents, auditors, etc. are conducted as necessary
Areas of focus for the review process include: Organizational Structure & Staffing, Fund Structure, Internal Operations & Controls, Valuation, Service Providers & External Oversight, Legal & Compliance, Information Technology & BCP, etc
3-7 years of job experience including some operational knowledge related to alternative investment products and managers (alternative mutual funds, fund-of-funds, hedge funds, and/or private equity). This includes candidates with prior experience in audit of alternative investment funds, hedge fund counter-party credit, and/or operational due diligence experience
Looking for candidate that has some knowledge of alternatives and the desire to expand their skill set into other product areas within a growing team of experienced operational due diligence professionals

Operational Due Diligence Analyst Resume Examples & Samples

5+ years of post-qualified experience
Background analyzing hedge funds or proprietary trading operations or other relevant background
Familiarity with the different service providers and their roles with hedge funds
Familiarity with back and middle office operations and systems
Understanding of risk management methodologies
Experience understanding securities valuation and pricing analysis and a good understanding of the different types of financial instruments
Proficient with MS Office (Word, Excel, Access, and PowerPoint)

Operational Due Diligence Analyst Resume Examples & Samples

Communicate and establish good working relationships with senior business personnel of hedge funds. Establishing and maintaining a network of contacts in the industry
Review various forms of documentation and conduct interviews (on-site with hedge funds) to establish facts pertaining to business and operational risk (Note that the on-site visits will require some business travel in Europe and Asia. Possibly some travel to the U.S.)
Evaluate the overall quality of hedge fund systems, controls, infrastructure and personnel in order to identify issues relevant to the overall investment decision; Work with the client information team on ad hoc projects as required; Develop ideas of possible improvements to the process
Write detailed reports containing comprehensive information and analysis related to the business and operational environment at the hedge funds which are published to the investment team
Perform regular monitoring of ongoing investments. Determine necessity of “as-needed” monitoring of current investments that undergo significant change over time

Due Diligence Analyst Resume Examples & Samples

Assess whether an investment is within the parameters of the company operational due diligence underwriting standards
Evaluate of the adequacy and efficacy of the processes and systems used by hedge funds and private equity funds to monitor and manage the risks associated with the operations of hedge funds and private equity funds (e.g., the overall design of such hedge fund manager’s internal control environment)
Negotiate specific terms and requirements as agreed to by Investment Committee and / or Operations Committee prior to investment
Consider of the optimal way to structure an investment with the Investment Manager
Determine whether the structure and terms of commingled investment vehicles are appropriate and designed to achieve the goals and objectives of the relevant managed account and create a competitive advantage through the negotiation of terms
Monitor and report all operational risk at hedge funds and private equity funds as well as the documentation of operational procedures and ongoing developments
Design, participate in and document results of interviews of senior personnel at underlying managers, administrators, audit firms and other fund service providers, including on-site fieldwork at underlying investment managers and documenting results
Review and analyze hedge fund and private equity fund financial statements, correspondence and regulatory filings as part of operational due diligence reviews of underlying managers and document findings
Participate in the due diligence of potential new investments with hedge fund and private equity managers and making written recommendations to the operational due diligence group and operations committee
Review and analyze background investigation reports received from third party private investigation firms and document findings and action plan
Prepare and review fund governing document abstracts for underlying fund governing documents including a review of underlying fund liquidity provisions
Read current periodicals to identify any current hedge fund and private equity fund frauds, failures or regulatory proceedings and perform ‘root cause’ analysis
Coordinate periodic information sweeps of underlying managers and report the results to the operational due diligence team and senior management
Participate in the negotiation of side letter agreements and other documents
Review the timeliness and accuracy of investment performance and valuations as reported by the Investment Manager, while staying abreast of current developments affecting the Investment Manager’s personnel, infrastructure, operations, and third-party service providers
Analyze internal and external business risks based on available data and assisting management to implement a plan to address the most important risks
Prepare operational risk and operational procedures documentation
Maintain good working relationships with appropriate industry contacts, hedge fund and private equity fund managers and internal and external stakeholders
Conduct special projects as needed and communicate results to senior management
Bachelor’s Degree in Accounting, Finance or equivalent with a superior grade point average as well as a graduate degree and professional accounting and/or financial designations
3-8 years of experience including the evaluation of internal control environments, operational risk management, negotiating agreements, or related area
Experience in the alternatives space, including private equity, real estate, infrastructure and hedge funds

Operational Risk Due Diligence Analyst Resume Examples & Samples

The selected candidate must also maintain excellent organizational and time management skills with a high focus on attention to detail and accuracy
Collection and assessment of beneficial ownership
Assist Senior Level Analysts and management with escalating potential compliance driven risks

Due Diligence Analyst Resume Examples & Samples

Support Global Due Diligence Standards of Practice for CPB and across segments of Citi’s Global Consumer Bank business in the Americas (North America and Latin America)
Partner with Investment Manager Research Team in delivery of various investment-related performance metrics of third-party strategies
Preparation of various internally generated data reports for use by senior management
Perform initial and periodic due diligence monitoring of IMC’s and their investment strategies
Maintain working inventory of U.S. and Offshore mutual funds, separately managed accounts, exchange-traded funds and closed-end funds available for distribution across multiple businesses of Citi
Maintain performance data on numerous third-party single strategies and multi-asset class portfolios
Manage statistical database to perform various analytical tasks such as CPB’s proprietary performance scorecard, performance outlier analysis, dispersion analysis, performance attribution analysis and other required analytical reporting
Designs/ create reports and charts with data pulled from various sources such as Morningstar, eVestment Alliance and/or other external/internal sources to improve information value to end users
Assists with various projects and ad hoc requests that require individual to gather, analyze and present data
Bachelor’s Degree Required preferably in Statistics, Math or Finance
One to three years of experience in financial services, specifically with firm focused on wealth or investment management
Candidates should have Series 7 and 66 license or willing to obtain within six months of employment

Due Diligence Analyst Resume Examples & Samples

Support timely documentation and communication of any initial and ongoing operational due diligence reviews by working closely with the MD – Operational Risk and Operations Department supporting these efforts
Assist the MD – Operational Risk in assessing and communicating the level of operational risk exposure with respect to our sub-advisors
Support the review of annual audited financial statements for all external hedge fund investments
Support certain reporting requirements between the Corporate and the Client Service team
Support an efficient on boarding process for new managed account sub-advisors by communicating effectively with the Operations Department and Investment Department As it relates to initial operational due diligence and the hand off of trade capture implementation and daily production to the Operations Team
2 to 4 years of big 4 (financial services clients preferred)
2 to 4 years of due diligence
Bachelor's Degree in Accounting with at least a minimum of 3.2GPA on a 4.0 scale

Operational Due Diligence Analyst Resume Examples & Samples

1-3 years of accounting, audit, operations, compliance or legal experience
Solid academic record
Independent and critical thinking skills

Due Diligence Analyst Resume Examples & Samples

Validate and confirm accuracy of individual report findings on the Bank's prospective and existing clients, researched, documented and prepared by analyst. Research includes: negative media, PEP & sanctions
Ensure that all public records collected, relate to specific customer/client
Ensure proper compliance protocols/procedures are adhered to and applied correctly by analyst
Determine what additional research steps are needed by the analyst
Conduct specialized research to determine disposition of any open records, properly identifying risks and escalating derogatory/high risk findings to Senior Management; risks include but not limited to - PEP, High Risk Global Jurisdictions and SDN/OFAC matches
Summarize and communicate derogatory information in written form to Senior Management
Exercise sound judgment and observe the highest degree of confidentiality
Ability to read and translate Dutch into English is essential though spoken Dutch is not a necessity
Experience in AML/KYC preferred. Expertise may include Compliance, Risk or Fraud but is not essential
Knowledge of AML/KYC/BSA policies including bank systems, applications and due diligence processes is preferable
Strong research, analytical and comprehension skills, with ability to analyze and document large amounts of data
Attention to detail skills are essential
Able to multi-task and meet deadlines in high -pressure environment
Effective verbal and written communication skills for report summarizations and escalations
Proficient in MS Office and strong typing skills required

Alternative Invesment Due Diligence Analyst Resume Examples & Samples

Perform initial and ongoing investment due diligence on alternative investment strategies and managers, including Real Estate and Commodities focused strategies
5-10 years of job experience in the financial markets with experience in alternative investment research. Knowledge of various alternative investment strategies including hedge funds, alternative mutual funds, real estate and commodities
Looking for candidate that has a strong knowledge of alternatives and the desire to expand their skill set across alternative investment strategies and products
CFA, CPA, and/or CAIA not required but viewed favorably
Appropriate securities licenses required or will need to be obtained upon hire

Due Diligence Analyst Resume Examples & Samples

Serves as the central point of contact for outside investment manager representatives
Attend and host conference calls and home office visits with portfolio managers and analysts scrutinizing investment processes and products aiding manager research form an investment opinion
Obtain and apply command of Excel, Access, Word, Informa PSN, Morningstar, and Mercer for manager analysis and new manager research projects as they arise
Create and maintain complex data spreadsheets, databases, and templates utilizing various systems to analyze holdings and performance of managed portfolios on a multi-billion dollar fee-based platform
Assists in the investment manager approval process for the firm’s dual contract platform. Responds to requests for immediate projects and also detailed commentary in response to investment performance questions from the AMS Sales Team and Financial Advisors
Bachelor’s Degree (B.A.) in related field and a minimum one (1) to three (3) years of experience at a broker/dealer or investment firm

Wcob Due Diligence Analyst Resume Examples & Samples

Validate accuracy of data and ensure completeness of document package
Validate all documentation uploaded into the KYC tool
Comfortable working as a team or individually to deliver results

Due Diligence Analyst Resume Examples & Samples

Maintains knowledge on current and emerging developments/trends for assigned area(s) or responsibility, assess the impact, and collaborates with management to incorporate new trends and developments in current and future solutions
Conducts the due diligence analysis of the investment products offered through LFS and LFA, which includes the assessment of the structure, risks, and benefits of the product offerings
Prepares verbal and written due diligence reports on investigations of investment issuers and products in compliance with internal guidelines as well as guidelines established by the FINRA, SEC, and other federal and state regulatory agencies
Makes recommendations to the broker-dealer management team and product review committee related to new investment products, services, and sponsors as well as their availability through LFA and LFS
Advises on field representatives’ requests for new investment products, applying product knowledge and evaluating level of risk to the organization
Educates internal staff and field force with product information through written articles, product profiles, electronic publications, internal presentations, and via telephone
Advises internal stakeholders on appropriate training, education, transaction approval, and suitability review of investment products

Due Diligence Analyst Resume Examples & Samples

Conduct detailed interviews with investment candidates and references
Collect and corroborate all datapoints relevant to an applicant’s candidacy
Qualitatively and quantitatively assess the candidate’s skills for the role, as well as their inherent talent and fit for the firm and relevant investment team
Convey findings and a recommendation in detailed reports to be presented to senior management and hiring committees
Work collaboratively with the team to investigate and assess new techniques to enhance the effectiveness of our investment talent assessment process
Expand their expertise of the investment management industry via self-directed study and/or coursework
Track record of academic success
Fluency in spoken Mandarin
Superior interpersonal skills and the ability to quickly develop rapport on the phone
Willingness and eagerness to commit to learning the investment management business
High level of skepticism and objectivity
Educational background in a quantitative discipline
Rigorous attention to detail and organized thinking
Sound judgment and the ability to work independently and cooperatively
Preference will be given to candidates who are CFA Charterholders or are working towards the CFA designation

Due Diligence Analyst Resume Examples & Samples

Complete due diligence questionnaires from participating broker-dealers/RIAs/third party due diligence firms
Provide competitive analysis on the company’s peer group
Communicate portfolio updates to broker dealers
Respond to ad hoc requests/research projects from the management team to assist with product development
Work closely with the sales team to provide support and assist with communication to financial advisors

Due Diligence Analyst Resume Examples & Samples

Bachelor’s degree required; CFA preferred; master’s degree a plus
5-7 years of financial services experience required; Series 7 and 63 licenses preferred
Strong knowledge base and understanding of the financial markets and its components, including fundamental analysis, financial modeling, asset allocation, market research, etc
Superior analytical and broad-based business management skills; demonstrated excellence in leadership
Demonstrable track record of being an effective and enthusiastic team player and collaborator
Strong product, marketing, and sales sense; innovative and creative thinker
Strong written and verbal presentation skills; excellent client-facing public relations skills
Located in New York City, New York office; extensive travel is required

Counterparty Due Diligence Analyst Resume Examples & Samples

Understand and operate the CDD process, to ensure accurate and timely delivery of services in accordance with SLAs
Conduct on demand CDD screening for counterparties in accordance with the risk based CDD process
Monitor the continuous monitoring reports for new matches
Review any matches to establish validity and, if appropriate, recommend next steps which may include moving to a higher level of rigor, or escalate – include recommendations on action based on precedents
Ensure that the rationale for all decisions is annotated as needed in relevant systems
Securely store all information in accordance with the requirements of the CDD Practice and policy, ensuring compliance with any data privacy requirements
Instigate follow-up reviews at frequencies determined by the risk rating for the counterparties or agents
Ensure documentation is kept current for any changes to the processes
Prepare and provide input to the regular reports, as required by management
Proactively acts to understand business reporting needs and identify solutions to non-standard tasks/ queries
Minimum 3 years of working experience in CDD/ AML, Compliance, Finance, Business or related field
Good written and verbal communication skills, as the role requires communication to all levels in the organization
Good analytical skills and in using MS Excel
Able to work on shift
Experience working in a fast-paced environment and ability to adapt to changing priorities

Ipb-due Diligence Analyst Resume Examples & Samples

Conduct in-depth and timely due diligence reviews of IPB customers identified as "high risk" to comply with the AML/LYC policies and procedures
Evaluate reasonableness of RM's conclusion and highlight/escalate issues to management and/or compliance and follow up on corrective actions
At least 5 years of relevant experience in KYC/AML/Due Diligence or 5 years of banking experience is preferred

Due Diligence Analyst Resume Examples & Samples

Review KYC for completeness and accuracy as part of customer validation in order to assess and document the risks associated with that customer
Identify and address items through day-to-day assignments to ensure the Bank's KYC and CIP standards have been met
Ensure ongoing due diligence efforts and KYC are maintained while identifying substantive changes to customer profiles
Perform AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank's policies and procedures
Review and resolve EDD Verifier alerts; escalate findings to Manager when appropriate
Perform searches utilizing Internet sources and/or third-party vendors (i.e. Google, Lexis Nexis and/or World Compliance) to determine negative news and obtain due diligence information for prospects and new/existing customers
Respond to daily inquiries from peers, front-line and management regarding KYC/CIP and due diligence matters, when appropriate
Communicate effectively with peers, front-line and management when requesting information or documentation and addressing concerns or findings
Adhere to all designated time frames, manage workflow to the specified deadlines and complete responsibilities in a satisfactory manner
Report and escalate all concerns or negative findings clearly and objectively to Manager
Interact with bank examiners, internal auditors, and compliance personnel during BSA and AML related audits, if necessary
Complete all job-related training in a timely manner and attend seminars or continuing education, as directed
Participate in team meetings
Perform any other assignments as directed by Manager
Ensure all customer records are properly completed and communicate deficiencies to appropriate party and/or Manager
Exercise discretion in setting priorities, identify customer records that require further review and take action to obtain and follow-up on attaining the information and/or documentation requested
Report positive EDD Verifier PEP matches and negative news findings to Manager
Actively assist the Manager in special projects that are both system related or involve special investigations or reviews
Minimum 5-7 years banking experience, with emphasis on BSA Compliance and due diligence in accordance with KYC, CIP, AML/BSA guidelines

Senior Due Diligence Analyst Resume Examples & Samples

Undertake Enhanced and Anti-Bribery and Corruption (ABC) customer due diligence to make recommendation on the suitability of business relationships
Liaise with external counterparties to collate required company information/documentation
Analyse and verify evidence collated during the customer due diligence process to ensure authenticity
Collaborate with commercial and functional stakeholders to enhance their understanding of the financial crime on-boarding requirements to raise the profile of the financial crime team and ensure the smooth onboarding of new and existing customers
Prepare customer due diligence files and ensure all internal and regulatory records management standards are adhered to
Develop an understanding of the Trading & Supply financial crime systems and controls including a working knowledge of the Compliance, Financial Crime and ABC manuals
Advise internal and external stakeholders on customer due diligence requirements in a timely fashion
Provide support to the compliance deal team lead on special projects and new initiatives
Escalates matters requiring investigations appropriately
Support Due Diligence Analysts in the Financial Crime Lead – East absence

Due Diligence Analyst Resume Examples & Samples

Reviews new higher risk customer accounts and determines level of risk
Identifies current customers who may have added to their level of risk by recent increases in transactions in cash, ACH/IAT, wires or other suspicious activity
Conducts customer reviews by using various tools available such as the internet, CLEAR, public data bases, websites and government resources
Ensures that all required documentation for account opening, as required by the Bank’s CDD/EDD procedures is received and imaged
Identifies FFIEC designated higher risk customers and performs enhanced due diligence reviews to determine associated risks
Continues monitoring of designated high risk customers
Identifies customers who may exceed the risk appetite of the bank and recommends exiting the relationship
Refers any identified suspicious activity to the BSA/AML Investigations Manager for investigation and possible suspicious activity report filing
Works closely with Deposit Operations and Retail on customer due diligence issues that may arise
Identifies and reports to the FIU Officer any bank-wide due diligence training weaknesses that need to be addressed
Assists the FIU Officer in the preparation of reports and documents at the request of auditors, examiners or Senior Management
Regularly exercises good judgement in the performance of all job functions
Assists the FIU Officer, BSA/AML Investigations Manager and other BSA Management as necessary
Achieves and maintains appropriate professional certifications by attending required training for CPE’s
Assists the BSA Organization as otherwise required
Knowledge of the FFIEC BSA/AML regulations
Ability to multi-task and prioritize work projects
Investigative techniques using Internet, Public Websites and ancillary solutions
Ability to drive an automobile on company business
Mobility sufficient to coordinate activities within the assigned department is helpful, but not essential
Ability to sit or stand, intermittently or for an extended period of time (up to and including four hours per day), and
Ability to lift a typical office-sized storage container (box) for shipment of records being retained (up to 30 lbs.)
Experience with BSA/AML or Fraud account monitoring software (Bankers Toolbox, Patriot Officer, JHA Yellow Hammer, Verafin or similar monitoring solution)
Experience with creating reports
Professional Certification (CAMS, CFE, CBAP, CRCM, or commensurate BSA/Risk Management certification) preferred, or required to be obtained within 6 months of hire (bank sponsored)

Counterparty Due Diligence Analyst Resume Examples & Samples

Understand and Operate the Standardized R&M ACDD process
Understand and assist in operating the High Risk Agent Group Control Process (HRAGCP)
Participate in periodic reviews of the ACDD or HRAGCP process with fellow practitioners and subject matter experts from E&C, Legal, PSCM etc
Ensure that the Sentinel screening database remains aligned with the active counterparties in our ERPs
Provide subject matter expertise to requestors to ensure that the appropriate level of rigor is applied to ACDD and HRAGCP evaluations of counter-parties
Conduct on demand ACDD screening for new counterparties in accordance with the risk based ACDD process. Monitor the continuous monitoring reports for new matches
Ensure that the rationale for all decisions is annotated as needed in Sentinel
Where the rigor level is escalated from Simplified to Standard, liaise with internal customers and the external counter-party to obtain the necessary additional information
Securely store all information in accordance with the requirements of the ACDD Practice and HRAGCP ensuring compliance with any data privacy requirements
Track actions relating to High Risk Agents and follow-up with sponsors where necessary
Input to the regular quarterly metrics reported by the Control Function. Report and monitor key process metrics
Bachelor’s degree in Accounting, Finance, Business or related field
More than 5 years of working experience in Finance, Accounting, Business or related field
Within 12 months the successful candidate will be expected to obtain an Advance Certificate in Anti-Money Laundering via training and examination.(offered by E&C) or, with prior approval from E&C, an equivalent level of professional certification
Strong written and verbal communication skills – the role requires communication to all levels in the organization
Demonstrated attention to detail and the ability to adhere to process

Counterparty Due Diligence Analyst Resume Examples & Samples

More than 2 years of experience with ACDD/AML or related compliance areas
Experience using World Check or Sentinel application
Experience working in a global shared services environment
Familiarity with BP’s Procurement, Order to Cash or Credit operations
Exceptional analytical skills and demonstrated proficiency in IT applications
Courage to say no when appropriate and to speak up when potential issues are observed

Due Diligence Analyst Resume Examples & Samples

Conducts customer reviews by using various tools available such as the internet, Lexis/Nexis, public data bases, websites and government resources
Thorough knowledge of the FFIEC BSA/AML regulations
Investigative techniques using Internet, Public Websites and Lexis/Nexis
Experience with BSA/AML monitoring software (Bankers Toolbox, Patriot Officer, JHA Yellow Hammer, Verafin)
Professional Certification (CAMS, CFE, CBAP, CRCM)

Gcg-senior Due Diligence Analyst Resume Examples & Samples

Bachelor’s degree from recognized university
CFA advantageous
Major in Business Finance, Investments or Legal
Min. 6 years of relevant working experience
Robust understanding of traditional mutual funds and liquid alternatives
Able to work in fast-paced oriented environment
Able to contribute as a team member
Cooperative, supportive and responsible for duties assigned

AML Enhanced Due Diligence Analyst Resume Examples & Samples

Responsible for requesting and reviewing necessary supporting documentation for EDD depending on the type of review
Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training
Maintain a working knowledge of Bank's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations as applicable to this job description
Takes personal initiative and is a positive example for others to emulate
Embraces our vision to become "The World's Greatest Bank."
Bachelor’s degree in business, business management, leadership, criminal justice, law, accounting, or related field required
1-3 years of previous banking experience, preferably in AML operations or AML Compliance
Knowledge of the Bank Secrecy Act, USA PATRIOT Act and its requirements
Possess high level of analytical skills with the ability to apply that analysis to complex transactional and customer situations

AML / KYC New Business Due Diligence Analyst Resume Examples & Samples

Liaise with client on-boarding / sales for required documents and sign-off
Review all KYC entries / records and liaise with client on-boarding for any issues or questions
Follow up with Compliance for approvals of High Risk clients, and with Sales/Bankers for all other clients
Complete remediation efforts and projects to clean up data and documentation and coordinate with other areas as needed (COB, Compliance, Sales, Client Service)
Minimum 1-3 years' experience in financial services operations, compliance, or client service preferred
AML/KYC experience needed - CAMS certification is a plus
Individual must be detail oriented and self-directing
Strong verbal and written communication skills are a must
Excellent client and time management skills
Adaptable, flexible and willing to work in a dynamic environment
Understanding of banking infrastructures, applications, and businesses/products is a plus

Operational Due Diligence Analyst Resume Examples & Samples

Qualitatively assess investment manager operations, internal controls and risks as well as assessing third party providers through thorough onsite reviews
Review manager and fund documentation including Formation Documents, Offering Memorandums, Service Provider and Financing Agreements
Conduct ongoing reviews of investments
Write formal assessments of reviews for internal and external distribution
Maintain operational due diligence policies and procedures with industry best practices and develop future enhancements of Citi's Ops due diligence program
Coordinate the service provider and counterparty confirmation process globally, and reconcile prime broker, fund accounting and audit data
Attend and assist in performing manager and service provider due diligence reviews
3-5 years related experience with Financial Services, preferably private equity / real estate / hedge fund related work experience (e.g. operational due diligence, auditing or accounting and back office operations)
Knowledge of hedge fund strategies and trades, valuation and reconciliation issues and best practices of the industry
Knowledge of global regulatory and compliance rules and regulations
Bachelor's degree, preferably in finance or accounting
Critical, organized with the ability to articulate concerns/issues effectively to senior investment management professionals (i.e. CFO, controllers, prime brokers, Administrators, etc.)
Excellent interpersonal and communication skills, oral and written required
Proactive attitude focusing on creating ideas and plans for correcting issues
Must have attention to detail and accuracy
CPA and/or CFA designation

Due Diligence Analyst Resume Examples & Samples

Identify and address items through day-to-day assignments to ensure the Bank’s KYC and CIP standards have been met
Assist in ensuring ongoing due diligence efforts and KYC are maintained while identifying substantive changes to customer profiles
Assist in conducting AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank’s policies and procedures
Assist in the execution of special projects, investigations or reviews, as directed
Perform searches utilizing Internet sources and/or third-party vendors (i.e. Google, Lexis Nexis, and/or World Compliance) to determine negative news and obtain due diligence information for prospects and new/existing customers
3-5 years experience in banking or 1-3 years BSA/AML compliance experience

Counterparty Due Diligence Analyst Resume Examples & Samples

Conduct on demand CDD screening for counterparties in accordance with the risk based CDD process. Monitor the continuous monitoring reports for new matches
Securely store all information in accordance with the requirements of the CDD Practice and policy ensuring compliance with any data privacy requirements
Provide subject matter expertise for the CDD process to requestors to ensure that the appropriate level of rigor is applied to CDD and HRAGCP evaluations of counter-parties
Participate in periodic reviews of the CDD or HRAGCP process with fellow practitioners and subject matter experts from Ethics & C, Legal, etc
Prepare and provide input to the regular reports and metrics, as required by management
Bachelor’s degree in Finance, Business or any related field; or professional certification such as ACAMS or ICA
Minimum 5 years of working experience in CDD/ AML, Compliance, Finance, Business or related field
Strong written and verbal communication skills, as the role requires communication to all levels in the organization
Strong analytical skills and demonstrated proficiency in IT applications

Due Diligence Analyst, Mid Resume Examples & Samples

Experience with conducting investigative research using online databases and public record resources
Experience in dealing with client relationships
Knowledge of the structure, policies, and directives of national intelligence agencies and organizations
BA or BS degree and 4+ years of experience with counterintelligence, investigative, or intelligence analysis work

Senior Due Diligence Analyst Resume Examples & Samples

Undertake and perform Enhanced Due Diligence assessments and Anti-Bribery and Corruption (ABC) customer due diligence to make recommendation on the suitability of business relationships
Liaise with external counterparties to collate required company information/documentation and verify evidence obtained during the customer due diligence process to ensure authenticity
Working to tight deadlines often under pressure and be able to prioritize your workload with shifting demands and priorities in a fast paced commercial environment
Ability to analyse substantial amounts of data, identify red flags, other areas of concern and escalate matters requiring the attention of the Team Lead or Money Laundering Reporting Officer appropriately

Due Diligence Analyst Resume Examples & Samples

3+ years of Financial Services experience at a Broker Dealer, Product Sponsor or Law firm
Bachelor's Degree in Finance and/or a related field
Client Service background
General knowledge of Retail Investment products with Alternative Investment Product Due Diligence

Senior Due Diligence Analyst Resume Examples & Samples

Undertake enhanced, standard and ABC customer due diligence to make recommendation on the suitability of the business relationship (end to end process)
On-board new customers and re-review existing customers across all client types ensuring all internal and regulatory records management standards are adhered to
Independently research companies and individuals to identify PEPs and adverse news
Analyse and verify evidence collated during the review process to ensure authenticity
Manage internal and external stakeholders to keep them appraised of progress and or articulate the requirements to perform the due diligence
Deputise for the Europe Financial Crime Prevention Team Lead
Assist with adhoc financial crime investigations and projects
Bachelor Degree with a minimum of 3 years’ experience in financial crime/customer due diligence environment
Detailed knowledge of financial crime risks with the ability to articulate and document concerns in a clear and concise manner
Well versed in JMLSG guidance notes and FCA guidelines
Ability to appropriately MiFID classify clients in line with COBS
Working knowledge of corporate structures and understanding of complex entity structures including SPVs, Trusts and Funds
Excellent attention to detail with the ability to work under pressure in a fast paced commercial environment
Ability to analyse substantial amounts of data and identify red flags
Team player with excellent communication skills, both written and verbal and strong interpersonal skills to manage relationships with internal and external stakeholders
Have experience in commodity market
Fluent in English and either Russian/German/Spanish/Italian or French
Attained a professional qualification in Financial Crime

Operational Due Diligence Analyst Resume Examples & Samples

Assisting with the operational due diligence reviews of external Hedge Fund, Private Equity, Real Assets, and Long-only investment managers. Long-only investment manager reviews include managers that are part of the External Manager Solutions long-only advisory programs as well as managers selected as sub-advisors by Bessemer’s internal mutual funds
Assisting with obtaining and reviewing the legal documentation, audited financial statements as well as operations, compliance, and trading policies and procedures of the external managers prior to investment and as part of ongoing monitoring
Maintaining periodic communications with managers to gather updated information related to their business operations and documenting changes that relate to operational risk
Liaising with the internal Legal and Compliance Departments on matters related to operational due diligence
Assisting with the distribution of annual questionnaires and reviewing the information obtained
Assisting with the preparation of written reports and manager risk ratings
Keeping abreast of market developments, industry trends and regulatory matters that could impact alternatives and long-only investment managers or due diligence procedures
Performing ad hoc duties related to the operational due diligence function as necessary
Two to three years direct operational due diligence experience or experience working in related areas of hedge fund/mutual fund accounting, audit, legal and compliance or broader back office operations (trade reconciliation, asset pricing, NAV calculation, credit agreements etc.)
Exceptional planning and organizational skills with attention to detail
Team player mentality

Due Diligence Analyst Resume Examples & Samples

Summarize key findings/notes for Financial Due Diligence, Management Fit and Capability and Capacity from extensive researches, 3rd party analysis, and answers from the Deal Information Document and the Supplier Information Document
Analyze gaps and identify risks from the key findings for Financial Due Diligence, Management Fit and Capability and Capacity
Provide risk mitigation for Financial Due Diligence, Management fit and Capability and Capacity
Populate DD supplier summary dashboards with our standard tools
To participate in consistent supplier relationship management program to ensure that contractual obligations are adhered to and continuous improvements are realized
Subcontract review to identity key risk areas and provide the findings to the contract manager
Industry analysis and solution review to evaluate the stability of the solution
Preferably graduate with Accounting/ Finance/ IT related degrees
Some legal background or exposure desirable
Basic understandings of the IT industry
Excellent written and spoken in English
Have experience in Supplier evaluation/ Risk management
Good research and analysis skills
Issue resolution and problem solving skills
Working experience in multinational corporations is preferred
Team members are located in Dalian

Due Diligence Analyst Resume Examples & Samples

Be a point of contact for prospective partners in order to assist in managing the Bank’s in-depth due diligence and implementation processes through program launch
Assist in the management of the approval process of prospective partners
Act as the Due Diligence & Implementation team’s interface and project manager with Visa, MasterCard, and any related 3rd party processing companies required to support Bank Programs
Responsible for supporting all aspects of the process related to underwriting and diligence of prospective partners
Initial review of documentation received from prospective partners
Manage all documentation related to new and existing partnerships
Assist in developing the credit policy for new programs
Throughout the due diligence and implementation process, work closely with senior management and respective Bank departments (Compliance, Credit and Finance), as well as Third Party firms and Outside Counsel
Support the VP Due-Diligence & Implementation to introduce and utilize new technology solutions
Lead & engage in redesign, efficiency, optimization, and reporting efforts to structurally improve Due Diligence & Operations
Schedule meetings and coordinate scheduling of site visits which includes creation of the agenda for the visit
Responsible for tracking all items that require remediation identified during due diligence, the site visit, and third-party audits. Additionally, coordinate with the senior management team and partner to prioritize remediation items
Assist with the creation of the internal approval memo by working with the respective departments to complete the various sections of the document and compile them into the master document
Coordinate the completion of risk assessments and compile the master Risk Assessment document
Edit internal approval documents and provide other support in preparation of the new partner and partner program submission process
Support the VP DD&I and SVP Business Development in managing the submission and presentment of proposed new partners and partner programs to senior management, the Bank’s internal approval committee, and Board of Directors
Coordinate implementation of new Strategic Partner Programs
Manage all administrative aspects of the implementation of the program which includes: (1) coordinate training between the Bank and the partner, (2) ensure all remediation items from the due diligence process have been completed, (3) confirm relevant processes have been successfully tested (4) coordinate the receipt of required reporting and (5) maintain the implementation approval tracking form
Support the VP Ops/Oversight in interacting with the respective Bank departments related to new program implementation

Due Diligence Analyst, Senior Resume Examples & Samples

3+ years of experience with conducting all source research and analysis and commercial due diligence
Experience with analyzing and summarizing documents and written materials in an organized report format
Experience with intelligence analysis, including counterintelligence, counter–threat, all source, and law enforcement missions
Possession of excellent foreign language skills

Assistant VP-operational Due Diligence Analyst Resume Examples & Samples

Execute HMC’s Operational Due Diligence Program
Coordinate and perform diligence reviews on existing and prospective external manager relationships
Coordinate/facilitate communication with external managers to obtain relevant insight into all investment support functions
Report diligence results to cross-functional groups (including Executive Team, Portfolio Managers, CFO and others) within HMC
Coordinate special projects and duties as needed
Fundamental accounting, operational, and performance reporting knowledge of alternative investments
General understanding of the tax aspects of private and alternative investments
Strong knowledge and demonstrated interest in general financial markets and products
Demonstrated ability to work under pressure and meet deadlines
Excellent written and oral communication skills; confidence and ability to communicate with all levels of management; and proficiency with database software and reporting tools
High degree of ethics and professionalism
SEC and/or foreign regime regulatory knowledge a plus
Familiarity with alternative investment accounting systems and technology a plus
BS Accounting / Finance required; MBA and/or CFA/CAIA/CPA preferred
Ideal candidate has 2 to 3 years of operational due diligence experience with a total of 7 years’ experience auditing/working for alternative investment firms and/or an administrator’s alternative investment function

AML / KYC New Business Due Diligence Analyst Resume Examples & Samples

Working in a fast paced dynamic team
Perform public and internal research to complete due diligence on client KYC profiles
Ensure KYC documentation added to the KYC source systems is accurate and complete
Liaise with Sales, Bankers, Relationship Managers and client directly to acquire missing client KYC documentation
Act as a KYC and AML subject matter expert
Escalate client and business issues to more senior staff in the team

AML / KYC New Business Due Diligence Analyst Resume Examples & Samples

Experienced and successful assessor of risk
Project management skills a plus
Use sound judgment to bring solutions to client and business issues. Own and resolve the issue to completion
Drive key relationships with the business and clients, including acting as Single Point of Contact for KYC
Partner with WCOB stakeholders to identify and drive process improvements, procedural improvements and efficiencies
Involved in WCOB, LOB or business driven projects
Higher throughput, timeliness and accuracy rates than staff at non Associate level
Potential to manage staff as needed

Operational Due Diligence Analyst Resume Examples & Samples

Working closely and effectively with key stakeholders across the wealth and investment management businesses
Performing on-going monitoring of existing funds on the approved list, reviewing and updating scores as appropriate through the completion of operational due diligence reports
Developing and maintaining the fund list of recommended alternative and traditional asset class offerings, including undertakings for collective investments in transferable securities (UCITS)
Investigating new funds to add to the recommended list across all alternative and traditional fund strategies
Jointly developing and maintaining the operational due diligence platform so that it can continue to support the teams due diligence, record keeping and workforce planning
Strong hands-on experience in the development and maintenance of the fund List of recommended alternative and traditional asset class offerings, including UCITS
An understanding of asset allocation, manager and fund selection and all asset classes
The ability to effectively cooperate with internal and external stakeholders of all levels, including Heads of relevant teams throughout the Bank
Strong people and social skills, with the ability to effectively communicate (both verbal and written) with key internal and external stakeholders
The ability to coordinate, support and influence decision makers in a broad range of areas
An inquisitive mind to investigate and discover, ideally holding or part qualified in ACA, ACCA, CFA or CIA

Due Diligence Analyst Resume Examples & Samples

Compiles background information and performs background checks on individuals and businesses by evaluating submitting information to third party vendors and data gathered
Conducts internal and external research regarding regulatory risk
Evaluates new and existing agent applications based on risk to the organization and complete and document a summary of research
Interacts with internal and external partners as needed to research and resolve an application
May develop and administer presentations and trainings on an as needed basis to both internal and external parties
May maintain up to date knowledge on emerging regulations
Maintains knowledge of internal policies and procedures and the adherence thereof
Applicable certifications i.e. CAMS, CFE, etc
Demonstrated professional written and verbal communication skills
Demonstrated ability to make quick, yet sound decisions, and communicate negative and adverse messages professionally
Excellent PC Skills, including Internet Research, Microsoft Excel, Access, Word
Ability to learn new database applications

Due Diligence Analyst Resume Examples & Samples

Initial and ongoing efforts with the review and analysis of 3rd party research firms
Completion of due diligence on the above investment company and brokerage products including watch lists, background checks, and RFI review
Create monthly, quarterly, and ad hoc reports based on current assets under administration, flows, and industry trends
Basic analysis of Financial Statements including review of prospectuses, annual reports, and other 3rd party reports
Perform analyses and identify issues impacting any current products on the shelf. This involves communicating any potential risks on current products to upper management
Focused attention and strict adherence to internal due diligence processes
Consult and provide input in defining and planning due diligence processes on new products
Act as liaison between internal departments and, occasionally, with the field
Remain current with industry/competitor trends and make product recommendations to management as needed based on regular evaluation of existing products
Manage project initiatives as requested by executive management to ensure timely completion
Conduct on-going product reviews on the products above to ensure that product risk and sustainability are managed as the market environment changes. Make recommendations to management on changes needed, including recommendations to add or discontinue certain products
Collaborate with the current Product Team to gauge field training requirements and develop and implement projects to engage and educate the field on products
Basic knowledge of mutual funds, ETF’s, and other general securities. Understanding of financial statements and the ability to complete financial analysis to support or deny the statements
Ability to analyze financial databases in building out product reporting
Skilled in verbal and written communications
Experience with Microsoft Office and expansive knowledge of Excel
Familiar with Morningstar or other institutional software packages
Highly organized individual with the ability to think creatively, manage various tasks and follow through on assignments. Accuracy and attention to detail a must
A positive attitude and high energy level

Due Diligence Analyst Resume Examples & Samples

Compiles background information and performs background checks on individuals and businesses by evaluating data gathered
Makes decisions on new and existing agent applications based on risk to the organization
Completes and documents a summary of research and decision-making
Performs as the Subject Matter Expert, including: demonstrations, reviewing specialty applications, answering questions, and assigning work as needed
Tracks work internally for individual and team operational performance
Interacts with internal and external partners as needed to research and resolve applications
Assess business ownership infrastructure and identify risks, documenting findings, ensuring that senior management is apprised of key issues, risks, and the appropriate monitoring to mitigate risk
Effectively implements and adhere to process improvements set forth by the due diligence management pertaining to compliance policies, operational procedures, and training materials
5+ years of work experience in due diligence or fraud investigations
Proven ability to employ tact and to appropriately adjust communications when interacting with individuals at varying levels in the organization
Demonstrated investigative and analytical skills � ability to find, evaluate risk-based information from internal and external sources
Excellent PC Skills, including Internet Research, Microsoft Excel, Access, Word; ability to learn new database applications
Demonstrate ability to make quick, yet sound decisions, and communicate negative and adverse messages professionally
Knowledge of International, Federal and/or State anti-money laundering compliance, preferred
Fluent bilingual communication skills and ability to communicate effectively with a culturally diverse agent base, preferred
Knowledge of conversational Hindi is major plus

Senior Due Diligence Analyst Resume Examples & Samples

Prepares and maintains documents and reports to management for determining policies, procedures and necessary controls
Experience in reviewing and approving Know Your Customer (KYC) files for complex business products, channels, and services
Excellent organizational, time management and project management skills
Excellent research skills including experience with online search tools
Strong writing, analytical and oral communications skills with consumer relationship background
Ability to understand and draw conclusions from research conducted

Enhanced Due Diligence Analyst Resume Examples & Samples

Timely analysis of client onboarding information to verify accuracy and completeness
Performing enhanced due diligence for clients considered in higher risk categories
Conducting periodic and/or event driven reviews of client relationships
Thorough documentation of all steps taken during the review process
Adhere to bank policy, procedure and regulatory requirements and maintain a strict level of confidentiality
Provide support and guidance to bank’s operational areas and assist with implementation of KYC related programs for the bank
BS/BA degree or the equivalent work or military experience
Two (2) years of AML/BSA experience in a financial institution
One (1) year of KYC/EDD experience
Knowledge of AML risks as they relate to transactional and credit operations of bank products and services
Understanding of complex business ownership hierarchies and entity types
Knowledge of business entity documentation (e.g. Articles of Incorporation, Certificate of Good Standing, LLC Agreement, PC’s and Partnerships)

Operational Due Diligence Analyst Resume Examples & Samples

Looking for candidate that has the desire to learn operational due diligence or expand their basic skill set of operational due diligence within a growing team of experienced operational due diligence professionals
Individuals with experience in audit and/or fund administration of alternative funds welcome
Ideally would like someone with some exposure to the alternative space (hedge fund, private equity, real estate, and/or alternative mutual funds, etc.)
4-7 years of total work experience including 0-2 years of operational due diligence experience
Undergraduate degree required; advanced degree not required but viewed favorably

Due Diligence Analyst Resume Examples & Samples

Conducts necessary consumer reviews of interview’s (PEP, Consumer Outreach (fraud prevention), and AML performed by Transaction Due Diligence in order to gain necessary Compliance intelligence for proper disposition and applicable actions
Identifies potentially unusual activity for investigation and review for necessary action, escalation to regional compliance officer and potential regulatory filings
Maintains necessary due diligence information and Consumer Risk Ranking within applicable applications for proper recordkeeping and investigative processes
Completes investigative consumer due diligence reviews utilizing various tools, reports and applications through analysis of complex data, consumer escalations and information, and related transactions in order to determine if activity requires recommendation of reporting to law enforcement through a filed Suspicious Activity Report (SAR) and/or other actions
7+ years of experience in reviewing consumer transaction(s) and other related internal and external information for performing higher risk consumer enhanced consumer due diligence reviews and/or Consumer Fraud/AML investigations for further action, disposition or escalation
Knowledgeable of laws, regulations and guidance related to Senior Public Figures (PEPs), Global Economic Sanctions Programs, AML, Consumer Fraud Prevention Programs
Advanced proficiency in Microsoft Word, Excel, Access, Power Point and Outlook
Self-starter, organized and ability to work independently, without supervision

Operational Due Diligence Analyst Resume Examples & Samples

Attend industry conferences to develop and share market intelligence with team members
Assist in ad-hoc projects and reviews necessitated by current market events
Min. of 3-5 years of direct operational due diligence experience covering private equity / real estate / hedge funds
Knowledge of private equity / real estate / hedge funds strategies and trades, valuation and reconciliation issues and best practices of the industry
Knowledge of global regulatory and compliance rules and regulations
Flexibility to travel

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