Role Overview The role will provide senior-level research, analytical, and due diligence support to a US wealth management business. The primary focus is investment research and product due diligence, complemented by advisor management support and suitability oversight. The individual will independently review investment product information, assess relevant risks and disclosures, identify exceptions or information gaps, and prepare clear, evidence-based findings for review by authorized stakeholders.

The role requires strong wealth management domain knowledge, sound analytical judgment, high attention to detail, and effective collaboration with onshore teams.

Key Responsibilities

- Investment Research and Product Due Diligence (Core Responsibility)

- Conduct initial and periodic due diligence reviews of investment products using approved documentation and information sources.
- Research product structures, investment objectives, underlying assets, risk factors, fees, liquidity, disclosures, and available performance information.
- Compare products and assess relevant features, risks, costs, and other decision-useful attributes.
- Identify information gaps, inconsistencies, material changes, and potential risk indicators; document evidence and findings for stakeholder review.
- Prepare structured product assessment summaries, research reports, and supporting materials that enable informed review and decision-making.
- Support ongoing product monitoring and maintain complete, traceable due diligence records.

2. Suitability Oversight Support
- Support reviews of investment recommendations and transactions against documented suitability requirements and review frameworks.
- Assess relevant client investment objectives, risk profiles, product characteristics, and disclosures where these are available and within the assigned review scope.
- Identify potential mismatches, exceptions, or deviations from established criteria and escalate them through the agreed governance process.
- Document review rationale, evidence, findings, and follow-up actions to maintain a clear audit trail.

3. Advisor Management Support
- Provide analytical and documentation support for advisor management activities related to investment products and review requirements.
- Review advisor-related records and supporting documentation for completeness, consistency, and adherence to defined procedures.




- Track open items, resolve information gaps with relevant stakeholders, and maintain accurate status reports and supporting records.
- Support consistent application of established policies, procedures, and review standards.

4. Risk, Controls, and Governance
- Perform assigned activities in line with documented procedures, confidentiality requirements, internal controls, and applicable compliance guidelines.
- Recognize and escalate potential risks, control gaps, exceptions, or incomplete evidence through established channels.
- Maintain review documentation and records to support quality checks, audit readiness, and governance reviews.
- Track findings and remediation actions through closure, coordinating with relevant stakeholders as required.
- Contribute to process standardization, documentation improvements, and quality and efficiency initiatives.

5. Stakeholder Engagement and SME Contribution
- Partner with onshore stakeholders to clarify requirements, discuss complex findings, and respond to research and due diligence requests.
- Communicate analysis and findings clearly, objectively, and within agreed turnaround times.
- Provide subject-matter expertise, support knowledge transfer, and contribute to process documentation or training where required.
- Manage assigned deliverables independently while meeting agreed service levels and quality expectations.

Required Skills and Qualifications
- Bachelor’s degree in Finance, Commerce, Economics, Banking, or a related discipline.
- 10–12 years of relevant experience in wealth management, investment research, investment product due diligence, suitability oversight, or related financial-services risk and control functions.
- Strong hands-on experience in investment research and due diligence; exposure to advisor support and suitability reviews is also required.
- Working knowledge of wealth management products such as equities, mutual funds, fixed-income securities, and other relevant investment products.




- Ability to interpret product documentation, disclosures, risk information, fees, and performance data and translate findings into clear written assessments.
- Strong analytical, critical-thinking, and problem-solving skills, with the confidence to identify gaps and escalate concerns.
- Proficiency in MS Excel and PowerPoint for analysis, reporting, and presentation of findings.
- Excellent written and verbal communication skills, particularly for working with onshore stakeholders.
- High attention to detail, solid documentation discipline, and ability to handle confidential information.
- Ability to manage multiple priorities and deliver accurate, high-quality outputs within agreed SLAs.

Preferred Skills
- Experience supporting a US-based wealth management firm, private bank, trust company, or investment advisory business.
- Familiarity with investment product disclosures, suitability frameworks, product governance, and periodic due diligence practices.
- Experience preparing management reports, research summaries, and stakeholder-ready presentations.
- Advanced Excel capability; experience with VBA or reporting automation is an advantage.

Key Performance Indicators
- Accuracy, completeness, and quality of investment research and due diligence assessments.
- Timely completion of assigned reviews and requests within agreed SLAs.
- Quality and clarity of written analysis, evidence, and supporting documentation.
- Timely identification, documentation, and escalation of exceptions and potential risks.
- Adherence to client procedures, confidentiality requirements, and internal controls.
- Stakeholder feedback and contribution to process quality and continuous improvement.

Role Expectations and Decision Rights The individual is expected to operate as an experienced offshore subject-matter expert, independently conducting assigned research and review activities and presenting well-supported findings. The role supports oversight and decision-making; it does not independently confer authority to approve investment products, make investment recommendations to end clients, or provide final suitability decisions unless specifically authorized under the client’s governance framework. Final approvals, investment decisions, and formal escalations remain with the designated authorized stakeholders.

📌 Analyst (Gurugram)
🏢 Anaptyss
📍 Gurugram