Senior Specialist - Wealth Management Research

• Location- Noida,Gurgaon
• Work From Office
• US Shift Timings

Please share your profile directly at surbhi.malhotra@nlbtech.com

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

1. 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.

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.

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.

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

• Bachelors degree in Finance, Commerce, Economics, Banking, or a related discipline.
• 1012 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.

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.

Anaptyss is an Equal Opportunity Employer. All qualified applicants will receive consideration without regard to any legally protected characteristic, including disability and protected veteran status. For recruitment accommodations, contact your recruiter or notifications@nlbservices.com.