Assistant Vice President, Investment Research & Product Due Diligence

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Product Diligence Leadership Opportunity in Financial Services

AVP, Investment Research & Product Due Diligence


20 E Thomas Rd., Phoenix, AZ  85012

2300 Windy Ridge Parkway, Atlanta, GA  30339 

7755 Third St. North, Oakdale, MN  55128

877 Executive Center Drive West, St. Petersburg, FL 33702


The Assistant Vice President of Investment Research & Product Diligence will oversee Advisor Group’s mutual fund due diligence efforts and champion investment research to our network of 7,000+ independent financial advisors.  The selected individual will provide direction and analytical leadership in the development and implementation of mutual fund due diligence and research.  Further, the candidate will have proven ability to network within the industry to leverage diligence capabilities.  Strong reputation and network within the industry are critical for candidacy.

The AVP is responsible for all aspects of mutual fund due diligence including initiating new reviews and maintaining ongoing diligence of approved funds. The position will also have responsibility for ensuring that our databases are updated to offer the most appropriate mutual fund share class.

The individual will also have significant responsibility for our proprietary Mutual Fund Reference List and guidance models.  This position will be a leader in that analysis by independently identifying attractive funds and vetting those for potential inclusion on the list as well as monitoring of existing funds.  The individual must have a strong knowledge of financial markets and a view of current events and economic conditions in order to fully vet these models, make recommendations and communicate their viewpoint.


  • Lead mutual fund and ETF product diligence functions.
  • Assist in the management of the mutual fund reference list and guidance models.
  • Actively participate on the Product Review Committee and interact with multiple departments across the organization.
  • Interface cross-functionally within the firm to address escalated/sophisticated product requests/issues within the network.
  • Field escalated product requests/inquiries from affiliated reps/OSJs.
  • Assist with production of quarterly market commentaries and research white papers.
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree in related field is required, preferably Finance or Business concentration. 

Basic Requirements:

  • 10+ years of relevant experience, preferably in a leadership role in analyzing mutual funds.
  • FINRA Series 7 license is required.
  • CFA designation or progress toward CFA is required.
  • Articulate, confident, driven professional with the ability to work with like-minded professionals in a results-oriented, fast-paced and growing environment.
  • Ability to rigorously analyze a product, make recommendations, and then stick to decisions.  Guiding principal is to limit risk and provide best in class product solutions.
  • Individual should have solid investment/analytical capabilities as well as broad knowledge of mutual fund and ETF products.
  • Strong analytical skills, with the ability to see all sides of an issue.
  • Strong understanding of financial markets and market behavior.
  • Solid investment and business acumen.
  • Strong interpersonal and communication skills.
  • Demonstrated ability to establish priorities and meet performance goals in a results-oriented fast-paced environment.
  • Experience in using performance attribution software such as Morningstar Direct.