VP, Head of Product Due Diligence

About the role

Osaic is seeking a VP / Head of Product Due Diligence to lead and evolve the firm’s end-to-end investment product evaluation, governance, and risk management function.

Responsibilities

• Lead comprehensive due diligence and approval processes for all investment products and platforms, including mutual funds, ETFs, SMAs, alternatives, structured products, annuities, insurance solutions, and advisory programs.
• Oversee quantitative and qualitative evaluation of product structure, performance, risk factors, liquidity, fees, operational complexity, sponsor strength, and suitability.
• Chair (or co-chair) the Product Review / Product Governance Committee; present clear, data-backed recommendations and decision rationale.
• Own diligence methodologies, scorecards, and documentation standards aligned to regulatory expectations and internal risk frameworks.
• Establish and manage ongoing product monitoring cycles, risk thresholds, escalation protocols, and remediation actions.
• Maintain and evolve policies and procedures related to product approval, monitoring, supervision, and Reg BI obligations.
• Partner with Product Management and Technology teams to implement and enhance diligence tools, data platforms, dashboards, and workflow automation.
• Develop KPIs and performance metrics to assess product value, risk outcomes, and post-approval effectiveness.
• Serve as a senior subject matter expert during FINRA, SEC, DOL exams, audits, and internal reviews.
• Provide forward-looking insight to the Executive Committee and Risk Committee on industry trends, product innovation, demographic shifts, and technology-driven investment solutions.
• Shape the firm’s product shelf strategy in partnership with Product Management, Research, Investment Strategy, and Distribution.
• Build, lead, and develop a high-performing team of diligence professionals.
• Set vision, standards, and priorities that align regulatory rigor with business agility.
• Ensure depth of review is appropriately calibrated to product risk while maintaining efficiency and scalability.

Requirements

• 10–15+ years of experience in investment due diligence, product research, or product management within a broker-dealer or wealth management firm.
• Deep understanding of investment markets, asset classes, alternative investments, and complex product structures.
• Strong expertise in FINRA, SEC, Reg BI, and broker-dealer regulatory frameworks.
• Demonstrated ability to lead governance processes and influence senior-level committees.
• Exceptional communication, leadership, and stakeholder management skills.

Qualifications

• CFA, CAIA, CFP, MBA (CFA progress acceptable where applicable).
• Experience modernizing due diligence or product governance through technology and data.
• Prior responsibility for leading and scaling diligence or product governance teams.
• Exposure to both broker-dealer and advisory/RIA platforms.
• Series 24 license required.