VP, Head of Product Due Diligence

Summary

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. This senior leader will oversee due diligence across all investment products and platforms while modernizing the diligence capability through technology, data, and advanced analytics.

Responsibilities

• Product Due Diligence & Governance
• 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.
• Ongoing Monitoring & Enterprise Risk Management
• Establish and manage ongoing product monitoring cycles, risk thresholds, escalation protocols, and remediation actions.
• Monitor performance dispersion, product behavior, style drift, operational issues, sponsor events, and regulatory developments.
• Lead actions including product restrictions, guidance, or closures when risk profiles change.
• Ensure robust reporting, audit trails, and transparency to senior leadership, regulators, and internal partners.
• Modernization, Technology & Data Leadership
• Drive the modernization of the product due diligence function, leveraging technology, automation, and advanced analytics to improve speed, consistency, insight quality, and scalability.
• Partner with Product Management and Technology teams to implement and enhance diligence tools, data platforms, dashboards, and workflow automation.
• Champion the use of structured and unstructured data to identify emerging risks, trends, and opportunities across the product shelf.
• Develop KPIs and performance metrics to assess product value, risk outcomes, and post-approval effectiveness.
• Regulatory & Compliance Partnership
• Serve as a senior subject matter expert during FINRA, SEC, DOL exams, audits, and internal reviews.
• Maintain and evolve policies and procedures related to product approval, monitoring, supervision, and Reg BI obligations.
• Partner closely with Compliance, Legal, Risk, and Supervision to ensure consistent alignment and proactive risk management.
• Strategic Influence & Thought Leadership
• Act as the firm’s authority and voice on product diligence, governance, and product risk.
• Provide forward-looking insight to the Executive Committee and Risk Committee on industry trends, product innovation, demographic shifts, and technology-driven investment solutions.
• Present at advisor conferences and forums, translating diligence rigor into clear guidance for financial professionals.
• Shape the firm’s product shelf strategy in partnership with Product Management, Research, Investment Strategy, and Distribution.
• Leadership & Organization Management
• 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.

Basic 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.

Preferred Requirements

• 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.

Qualifications

• Education Requirements:
• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Benefits

Osaic offers a competitive compensation package including a salary range of $160,000 - $200,000 + annual performance bonus. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days, and much more. To learn more about our benefits, visit our careers page: [https://careers.osaic.com/Creative/Benefits](https://careers.osaic.com/Creative/Benefits).