Due Diligence Analyst

Do you enjoy challenging yourself in the fast-paced and constantly-evolving financial industry? Patrick Capital Markets, an independent broker-dealer, is growing rapidly and looking for additional team members to contribute to the organization’s continued success. Patrick’s business model focuses primarily on providing alternative investments and private placements that may include, but are not limited to, opportunity zones, private equity funds, Delaware Statutory Trusts (DSTs), non-traded REITs, hedge funds, and other investment opportunities to registered representatives of Patrick and our affiliate broker-dealer, Saxony Securities, Inc.

Our firm is looking for a due diligence analyst whose primary role will focus on reviewing alternative investment issuers/offerings and sponsors associated with these offerings. This role will include a number of tasks and responsibilities that include:

· Reviewing private placement and alternative investment offerings, compiling diligence findings with a written review of the offering, and identifying potential risks that could impact investors;

· Analyzing financial statements, reviewing financial models and projections relative to the private offerings reviewed;

· Running background checks, negative news searches, and other investigative actions on entities and parties affiliated with the offering;

· Consult with managers and firm leadership to communicate due diligence findings to better help them understand the potential benefits or concerns and risks of the offerings.

Due Diligence Analyst Responsibilities will include:

· Assessment of product sponsors and their operational infrastructure, financial health, governance models, historic and current litigation, and continuity plans;

· Reviewing offering documents and all supporting documentation relative to a private offering of securities;

· Coordinate with product sponsor’s representatives to obtain necessary documentation and resolve outstanding issues uncovered during an offering review;

· Assess risk factors and suitability relative to the offerings and their applicable sponsors to make a recommendation to firm management on the approval or denial of the offering;

· Deepen relationships with existing product sponsors to obtain allocations as a selling group member;

· Special projects to enhance the due diligence projects and to adopt new technologies to benefit the combined organization;

· Maintaining and improvising standard of work, policies and procedures, and process workflows.

Requirements for Role:

· Four-year college degree;

· Excellent communication and interpersonal skills;

· Ability to work in a high-functioning team environment;

· Self-starter with ability to manage time and workflow in fast-paced, constantly-changing environment;

· Natural problem-solving skills and ability to understand complex topics;

· Knowledge of Microsoft technology products including, but not limited to, Excel, Word, Outlook, and PowerPoint.

Preferred Qualifications:

· Strong analytic and problem-solving skills;

· Sufficient understanding of accounting statements and financial analysis;

· FINRA Series 7 and 63 registrations a plus;

· Chartered Financial Analyst (“CFA”) or Chartered Alternative Investment Analyst (“CAIA”) designations;

· Previous experience with alternative investments and private placements;

· Knowledge of DocuSign, SmartSheet, and other 3rd-party technology solutions.