Due Diligence Associate Resume Samples

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N Huels

Nora

Huels

328 Jerel Expressway

San Francisco

+1 (555) 513 4035

328 Jerel Expressway

San Francisco

Phone

p +1 (555) 513 4035

Experience Experience

Boston, MA

Ishares Due Diligence Associate

Boston, MA

Dickens and Sons

Boston, MA

Ishares Due Diligence Associate

Help develop and deliver on the team’s pipeline, strategic plan and success metrics
Develop and leverage key internal and external relationships
Ambitious work ethic, professional disposition, detail–oriented and a passion for investments
Prepare to manage own accounts within a 12-24 month timeframe
Stay abreast of current market developments and the latest BlackRock and client investment research
Support senior members of the team in preparation of meeting materials
Continually expand and deepen investment, industry and ETF product knowledge

Detroit, MI

Operational Due Diligence Associate

Detroit, MI

Hammes and Sons

Detroit, MI

Operational Due Diligence Associate

Assist and support the Business Risk Management Team with initial and ongoing operational due diligence on investment managers across all asset classes
Responsibilities include: developing due diligence plans, reviews of managers’ documented procedures, attending onsite meetings, coordinating background checks, fund legal document reviews and preparing written analyses of managers’ business and operational capabilities
Provide support in the review of external service providers including administrators, law firms, auditors and prime brokers. Prepare written summaries of reviews
Review and monitor audited financial statements and ongoing operational developments at investment manager firms
Maintain database of fund operational and vendor data for strategy and peer group analyses
Coordinate special projects and interact with operational due diligence analysts, investment research professionals, investment directors and clients
Comfort working in a flat organizational environment

present

Philadelphia, PA

Associate, Operational Due Diligence

Philadelphia, PA

Herman, Breitenberg and Ondricka

present

Philadelphia, PA

Associate, Operational Due Diligence

present

Assists the Management team in developing Junior staff members
Assists the Management team in developing and monitoring junior staff members
Conducts operational due diligence reviews of external fund managers via on-site visits to fund managers
Assists in preparation of summary operational due diligence memo, based on insights from on-site visit and review of documentation
Contributes to strong working relationships within all key areas of CPPIB
Develops knowledge and keeps abreast of dynamic changes with respect to industry standards and best practices impacting operational due diligence
Due diligence activities include an assessment of processes, systems, documentation, personnel and overall controls pertaining to the following areas: trade capture, investment operations, valuation, accounting and financial reporting, risk management, counterparty risk, performance measurement, compliance management and disaster recovery

Education Education

Bachelor’s Degree in Professionalism Combined With

Illinois State University

Bachelor’s Degree in Professionalism Combined With

Skills Skills

Underwrite potential multi-family acquisition targets using proprietary APOD financial analysis workbook
Recommend property acquisition structures using SANTE Realty’s capabilities and guidelines to executive committee
Conduct detailed due diligence on target acquisitions to ensure accurate underwriting of as-is and projected property financials
Contact local area experts to ensure revenue and expense projections are accurate and defendable to key stakeholders
Collaborate with in-house Treasurer and mortgage broker(s) to ensure right fit capitalization for new acquisitions
Coordinate with in-house Development Services to ensure scope of value-add renovations post-closing is aligned and properly accounted for in property financial projections
Coordinate with in-house Investor Relations to ensure target properties and their projections are aligned to investor expectations including IRR hurdles, payback period, etc
Coordinate with in-house Operations team to ensure smooth transition from acquisitions process to operational take-over
Engage and direct third party consultants to perform detailed property condition assessment and provide resulting recommendations to executive team including concession requests to seller(s)
Visit target properties and determined comparables for in-person due diligence and analysis

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Associate Due Diligence Analyst Resume Examples & Samples

Assist in the evaluation due diligence process of hedge fund managers from an operations and infrastructure perspective
Participate in hedge fund field visits (phone or in person) while providing support to senior level staff during these meetings (taking meeting notes, etc.)
Bachelor’s degree preferred in Finance, Economics or Accounting
Ability to work independently while accepting guidance and feedback from Supervisor
Ability to solve problems of limited scope and complexity following established policies and procedures

Associate Client Management Due Diligence Resume Examples & Samples

Give visibility of the onboarding process within a location to key stakeholders, including information about alignment with HSBC’s policies and controls e.g. AML
Build alignment of the onboarding process to local and/or global standards as required in the specific location
The role will need to be flexible as it will be positioned in locations that are ‘start-ups’ for GBM Onboarding through to locations such as London, NY and HK where the role is already well established. In new locations the role-holder may need to cover additional activity in the set-up phases in order to embed the capability and to achieve buy-in from local teams
Based on the above the role holder may be the only resource on the ground in a location and will need to be confident in the role and their ability to work with local teams to achieve the outcomes required will maintaining a view of what is required from a central GBM Onboarding perspective
The role plays a key part in joining together the priorities and requirements of the business with the availability of service providers (e.g.KYC, Credit, AM etc.). The role holder will have to build deep knowledge about the client and work closely with the business and functional delivery teams to ensure priorities are aligned with resource availability and ensure issues are resolved in a timely manner
There is an expectation that the role will be deeply embedded within the GBM business / coverage teams, whilst still maintaining strong relationships with the functional delivery teams. However the relationship with the functional delivery teams will need to become more formalized through the definition and usage of clear service levels
Strong business knowledge and a working knowledge of onboarding and the products that are utilised but with the ability to gather SME’s when required to fill the skill gaps; Strong knowledge of the regulatory requirements
Strong knowledge of HSBC’s organizational structure, business lines and policies and procedures to ensure compliance on all proposals and able to manage new product due diligence.*
Solid and proven relevant work experience (supporting Relationship Managers, Sales or working in an operational middle office or client facing support function and focus on fund managers, hedge funds and complex products), within the banking / financial services industry.*

Client Due Diligence Associate Resume Examples & Samples

Scan and index all new accounts, updates and credit documents
Assist in verifying signatures on client instructions
Inputting of customer information into banking systems
Advise Sr. Manager or designee of any deviation to established procedures that minimize critical and costly errors
Perform quality review for scanning, new account updates and credit documents
Perform maintenance/ updates on existing account
Review all tax forms for accuracy and completion including Foreign Account Tax Compliance (FATCA) requirements
Create mandate and correspondence files. Ensure all documents are properly placed in the appropriate section of the mandate file
Retrieve and deliver client correspondent files as requested by Credit Analysts in an accurate and professional manner
Perform other duties as directed by Sr. Manager or Management
Minimum 1 year financial services experience preferably in an administrative/clerical role
Basic knowledge of banking services and products
Knowledge of MS Office: Word, Excel and Outlook, internet search engines
Ability to multitask and manage to tight timelines and deliverables
Extremely detailed oriented
Ability to operate successfully in a rapidly changing environment

Operational Due Diligence Associate Resume Examples & Samples

1-3 years of accounting, audit, operations, compliance or legal experience
Proficiency with computer applications and platforms
Ability to form strong, professional relationships
Demonstrates calm under pressure

Operational Due Diligence Associate Resume Examples & Samples

4+ years of related work experience
Strong Product knowledge and an in-depth understanding of best practice and Hedge Fund work flows
4+ years of experience with Hedge Funds or Hedge Fund Allocators conducting Operational Due Diligence reviews
Prior experience in Auditing, Fund Administration, or Hedge Fund Operations
Background in Financial Communications and Corporate Finance
Broad strategy experience
Expertise with Complex Products, such as Loans or Mortgages

Operational Due Diligence Associate Resume Examples & Samples

4-8 years of prior hedge fund experience in hedge fund operational due diligence, operations, audit, prime brokerage, compliance, or other similar fields
Exceptional interpersonal, written, and verbal communication skills
Demonstrates discretion
Ability to process information quickly, such as in simultaneously conducting verbal interviews, considering responses, and identifying inconsistencies
Ability to manage several processes and projects at the same time
Ability to work well in a collaborative, team-oriented environment

Wcob Due Diligence Associate Resume Examples & Samples

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)
B.A. Degree or equivalent
AML/KYC experience needed - CAMS certification is a plus
Comfortable working as a team or individually to deliver results

Due Diligence Associate Resume Examples & Samples

This primarily involves undertaking open source and database research for ethics, litigation, due diligence, background check, and risk assessments
Must be able to perform database searches of key individual and company names across multiple databases, analyze the results and then send appropriate follow-up requests
Occasionally contact with third party advisers /distributors. Conduct due diligence on third party international marketing representatives /distributors & others
Produce high quality and accurate written work with the ability to understand and summarize large amounts of information from diverse sources
Responsible for understanding FCPA concepts and request appropriate follow-up on relevant issues and evaluation of the information obtained to ensure it meets HDS requirements
Evaluate information provided by other teams
Perform follow-up calls and/or face-to-face interviews with target respondents with regard to questionnaires
Occasionally called on to use their due diligence skills to assist with other projects
Those with language skills may provide translations in support of projects, review HDS materials prepared in other languages and assist with files requiring their language skills
2+ Years of experience in related field. Bachelor's Degree required. Master's Degree or equivalent Preferred. Prior experience as part of a legal team or legal/paralegal training a plus
Have an understanding of corporate ownership structures, and worked for due diligent research function preferred
Experience of using Lexis and other databases is preferred. Hands-on experience in development of database is an added advantage
Superior project management and organization skills with a high level of attention to detail
Preferred candidates are multi-lingual, HDS is particularly interested in candidates proficient in French, Spanish, Russian, Mandarin, Korean, Portuguese, or Arabic
Ability to follow complex processes with precision and attention to detail

Associate, Operational Due Diligence Resume Examples & Samples

Conducts operational due diligence reviews of external fund managers via on-site visits to fund managers
Due diligence activities include an assessment of processes, systems, documentation, personnel and overall controls pertaining to the following areas: trade capture, investment operations, valuation, accounting and financial reporting, risk management, counterparty risk, performance measurement, compliance management and disaster recovery
Reviews financial statements, information systems capabilities, business contingency planning and disaster recovery procedures and assesses operational personnel skill and integrity as it pertains to external fund investments
Develops knowledge and keeps abreast of changes with respect to industry standards and best practices impacting operational due diligence
Establishes and maintains effective working relationships as needed with internal stakeholders and external vendors
Assists the Management team in developing Junior staff members
Coordinates and maintains complete and comprehensive documentation surrounding new fund and ongoing operational due diligence activities
Assists in preparation of summary operational due diligence memo, based on insights from on-site visit and review of documentation
Continually assesses current processes and recommends appropriate enhancements to improve or adapt to changing business or regulatory requirements
Contributes to strong working relationships within all key areas of CPPIB

Senior Associate, IT Due Diligence Resume Examples & Samples

In relation to the deal advisory integration and separation process, assess and quantify the Information Technology (IT) related opportunities and risks, develop an action plan to address, and communicate due diligence results in a non-technical fashion
Evaluate the Information Technology related performance of companies and develop plans for improvement and expense reduction
Help facilitate the integration of IT operations and organizations resulting from a roll-up and/or complete separation work from a parent organization
Complete comprehensive offshoring of high labor activities, provide renegotiation support of key IT vendor contracts at the direction of management, and help identify improvement opportunities for IT governance and project selection
Work with cross-functional teams in implementing solutions
Participate in the development and presentation of final project deliverables
Five years of external consulting experience for a technology/business consulting firm or a combination of external consulting and technology industry experience, including a track record of driving major IT-related business change
Participation in significant IT projects, the scope of which should include at least one of the following areas: Enterprise Resources Planning implementation, outsourcing of a significant IT process, reengineering IT organization, business process reengineered, or IT infrastructure upgrade
Competency in at least two or more of the following technical disciplines: enterprise systems implementation, IT architecture and infrastructure management, post-merger IT integration, carve-out separation, process reengineering, offshoring, and outsourcing
Ability to prioritize/organize diverse material
Excellent foundational consulting skills: analytical, written and verbal communication, strong executive presence, facilitation and presentation skills

Operational Due Diligence Associate Resume Examples & Samples

Assist and support the Business Risk Management Team with initial and ongoing operational due diligence on investment managers across all asset classes
Responsibilities include: developing due diligence plans, reviews of managers’ documented procedures, attending onsite meetings, coordinating background checks, fund legal document reviews and preparing written analyses of managers’ business and operational capabilities
Provide support in the review of external service providers including administrators, law firms, auditors and prime brokers. Prepare written summaries of reviews
Review and monitor audited financial statements and ongoing operational developments at investment manager firms
Coordinate special projects and interact with operational due diligence analysts, investment research professionals, investment directors and clients
1-2 years of relevant work experience within the financial services industry, preferably in the securities operations or fund administration environment or audit firm auditing investment products
Bachelor’s degree (general business or accounting major) with a record of achievement
Strong written and oral communication skills. Ability to coordinate projects and facilitate information flow across different functional areas
Ability to work both independently and in a team under time pressure
Ability to travel domestically, within the EU and to a limited extent, internationally

FRM Risk Management & Due Diligence Associate Resume Examples & Samples

Performing internal fair value levelling on all managed accounts and reconciling it to the administrator provided information. Investigate and resolve discrepancies with the MAC Operations Team, MAC administrator and the Investment Manager where required
Collecting fair value levelling data from commingled fund managers on a period basis for upload into a database to facilitate the build out of a trend analysis process
Building out reporting to combine commingled fund and managed account data for valuation risk trend analysis and issue spotting. Create exception reporting by strategy
Collecting counterparty risk exposures from commingled fund managers on a period basis for upload into a database to facilitate the build out trend analysis process
Supporting the creation of reporting to combine commingled fund and managed account data for counterparty risk analysis at the portfolio level to facilitate trend analysis and issue spotting. Enhance current reporting for distribution within FRM and to Group Risk
Analysing hedge fund financial statements with the goal of identifying key risks that the business and fund investment poses to potential / current investors. Highlight discrepancies in information obtain from the operational due diligence meetings
Preparing materials for presentation at the monthly Risk Committees and quarterly Board Meetings
Supporting the Operational Risk Analysts in the desktop review process for initial and ongoing due diligence of approved hedge funds
Supporting the Operational Risk Analysts in conducting administrator and other service provider due diligence calls
Maintaining FRM Operational Risk pipeline of work and deliverables
Coordinating the operational due diligence monitoring schedule and related tasks
Coordinating materials for SOC 1 testing and annual fund audits

KYC New Business Due Diligence Associate Resume Examples & Samples

Validate accuracy of data and ensure completeness of document package
Liaise with client on-boarding / sales for required documents and sign-off
B.A. Degree or equivalent work experience
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

Ops Due Diligence Associate Resume Examples & Samples

Gather and review underlying hedge fund manager documents and information
Assist in responding to client requests for existing hedge fund data
Assist with ad-hoc departmental project assignments
Desire to pursue a career in the hedge fund, fund of funds, asset allocation industry
Ability to multi-task while meeting established deadlines

Associate, Due Diligence for Lenders Resume Examples & Samples

Perform and supervise substantive testing procedures of transactions including the receipt of customer and borrower payments, sales transactions and material purchases
Analyze potential collateral assets and offsets to assist the lender in defining eligibility criteria for asset based and asset backed loans and securitizations
One year of experience with a top 10 public accounting firm in one of the following areas: accounting, advisory, financial audit, or transaction; Bachelor’s degree in accounting or finance from an accredited college/university

Ishares Due Diligence Associate Resume Examples & Samples

Help develop and deliver on the team’s pipeline, strategic plan and success metrics
Support senior members of the team in preparation of meeting materials
Take an active leadership role in RFP fulfillment and client deliverables
Maintain a database of client models, track changes within those models overtime, and actively identify opportunities to grow and defend model share
Actively participate in internal/client meetings/conference calls and assist with timely response of deliverables
Synthesize client research to create actionable field sales ideas
Continually expand and deepen investment, industry and ETF product knowledge
Stay abreast of current market developments and the latest BlackRock and client investment research
Develop and leverage key internal and external relationships
Prepare to manage own accounts within a 12-24 month timeframe
BA/BS degree and 3-5 years industry experience required
Experience with wealth advisory firms and an understanding of the iShares business, core messaging, competitive positioning and ETF industry knowledge is essential
Extremely organized, ability to multi-task, prioritize, and collaborate vertically/horizontally and operate in a fast past environment
Passion for deep understanding of products and strong analytical ability
Strong written, verbal and interpersonal communication skills
Familiarity with data systems such as Bloomberg, Morningstar, and Microsoft Office
Ambitious work ethic, professional disposition, detail–oriented and a passion for investments
Pro-active personality and client first mentality
Location: New York or San Francisco

Associate, Operational Due Diligence Resume Examples & Samples

Conducts operational due diligence reviews of external fund managers
Due diligence activities include an assessment of processes, systems, documentation, personnel and overall controls pertaining to the following areas: trade capture, investment operations, valuation, accounting and financial reporting, risk management, counterparty risk, performance measurement, compliance framework and disaster recovery
Develops knowledge and keeps abreast of dynamic changes with respect to industry standards and best practices impacting operational due diligence
Establishes and maintains effective working relationships as needed with internal and external stakeholders
Assists the Management team in developing and monitoring junior staff members

Due Diligence Associate Resume Examples & Samples

Underwrite potential multi-family acquisition targets using proprietary APOD financial analysis workbook
Recommend property acquisition structures using SANTE Realty’s capabilities and guidelines to executive committee
Conduct detailed due diligence on target acquisitions to ensure accurate underwriting of as-is and projected property financials
Contact local area experts to ensure revenue and expense projections are accurate and defendable to key stakeholders
Collaborate with in-house Treasurer and mortgage broker(s) to ensure right fit capitalization for new acquisitions
Coordinate with in-house Development Services to ensure scope of value-add renovations post-closing is aligned and properly accounted for in property financial projections
Coordinate with in-house Investor Relations to ensure target properties and their projections are aligned to investor expectations including IRR hurdles, payback period, etc
Coordinate with in-house Operations team to ensure smooth transition from acquisitions process to operational take-over
Engage and direct third party consultants to perform detailed property condition assessment and provide resulting recommendations to executive team including concession requests to seller(s)
Visit target properties and determined comparables for in-person due diligence and analysis
Any other duties and responsibilities as assigned

Due Diligence Senior Associate Resume Examples & Samples

Abstracting of commercial lease documents
Performing project management for due diligence assignments
Maintaining contact with clients and internal stakeholders
Reviewing lease abstracts prepared by other team members
Special projects and additional assignments as required

Senior Operational Due-diligence Associate Resume Examples & Samples

5+ years of experience in Due Diligence, Operational Risk Assessments, Legal Research, and/or Internal Audit
Experience int he Hedge Fund industry
Previous experience with Internal Reporting and Risk Management / Reporting / Analysis
Solid analytical, mathematical, and research skills
Investment or Trading Operations experience

Senior Associate, Due Diligence for Lenders Resume Examples & Samples

Provide lender due diligence services and Regulation AB compliance services to banks and lending institutions on domestic and international transactions involving asset-based lending and asset-backed securities in accordance with Standards for Attestation Engagements (SAE) and U.S. Generally Accepted Auditing Standards (GAAS)
Provide financial, accounting, commercial, and operational due diligence services to clients while evaluating loan opportunities and providing advice on existing or potential financing transactions
Create tailored due diligence for lenders reports specific to key issues relevant to the transaction, highlighting potential liabilities, risks and other findings
Supervise a team of up to four associates in performing various tasks, including reviewing their analysis and schedules, and assisting in the composition, editing and review of due diligence reports, workpapers and other deliverables
A minimum of three years experience with a top 10 public accounting firm in one of the following areas: accounting, advisory, financial audit, or transaction; Bachelor’s degree in accounting or finance from an accredited college/university
Strong current knowledge in one of the following: U.S. Generally Accepted Accounting Principles (GAAP), Securities and Exchange Commission (SEC) financial reporting issues, mergers and acquisitions, or transaction services
Experience with current audit and accounting concepts as well as SEC filings such as 1933 and 1934 Act filings
Working knowledge of inventory costing and auditing procedures and/or familiarity with SEC reporting and servicing standards for asset backed securities
Travel may be up to 80-100% domestically and internationally, with limited notice

Operational Due Diligence Associate Resume Examples & Samples

Perform initial and ongoing operational due diligence reviews related to private equity investments
Preparing for and conducting in-depth, on-site due diligence meetings with senior management (i.e. CFOs, COOs, CCOs, as well as other support staff) to establish facts pertaining to business and operational risk
Evaluate the overall quality of systems, controls, infrastructure and personnel in order to identify issues relevant to the overall investment decision
Prepare detailed reports containing comprehensive information and analysis related to the operational environment of potential investments
Perform ongoing monitoring of investments including analyzing fund financial statements and investment activity to ensure compliance with partnership agreements
Perform ongoing monitoring of manager ADV filings and other publicly available information
Supporting general business development activities, as requested, particularly with respect to information on operational due diligence
Keeping abreast of market developments, industry trends and regulatory matters that could impact private equity managers
Developing market intelligence and industry best practice by liaising with fund managers, fund administrators, and external auditors to identify possible process enhancements
Work within a team structure to ensure accuracy and timely delivery of operational due diligence reports
CPA and/or CFA desired
Knowledge of the private equity industry and limited partnership agreements
Background analyzing the operational risks within private equity funds or other relevant background e.g. Big 4 audit firm with a focus on asset management clients
Dynamic, smart, hard-working, self-starter attributes and an ability to communicate effectively with all levels of management both internally and externally
Familiarity with back office operations and systems
Understanding of risk management methodologies
Strong verbal and written communications skills
Must be detail oriented, organized and possess strong analytical skills with an interest and ability to work collaboratively in a team environment
Proficient with MS Office (Word, Excel, Access, Power Point)
Flexibility to travel up to 5%