Vice President, Head of Product Due Diligence

Osaic

VP / Head of Product Due Diligence overseeing investment product evaluation and governance at Osaic. Leading due diligence across investment products while modernizing capabilities through technology and analytics.

Posted 5/7/2026full-timeScottsdale • Arizona, Florida, Minnesota, New York • 🇺🇸 United StatesLead💰 $160,000 - $200,000 per yearWebsite

About the role

Key responsibilities & impact

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.
Drive the modernization of the product due diligence function, leveraging technology, automation, and advanced analytics to improve speed, consistency, insight quality, and scalability.
Serve as a senior subject matter expert during FINRA, SEC, DOL exams, audits, and internal reviews.

Requirements

What you’ll need

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.
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.

Benefits

Comp & perks

health, vision, dental insurance
401k
paid time away
volunteer days
much more

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

investment due diligenceproduct researchproduct managementquantitative evaluationqualitative evaluationrisk assessmentdata analysisdiligence methodologiesscorecardsadvanced analytics

Soft Skills

leadershipcommunicationstakeholder managementinfluencegovernancedecision-makingpresentation skillscollaborationproblem-solvingorganizational skills