DEPARTMENT
The Investment Management Research Group is responsible for the following activities:
• Selection of asset managers for use in 1st Global’s discretionary fee-based programs on the IMS platform (IMS Select Portfolios and IMS Unified Choice platform).
• On-going due diligence and monitoring of asset managers selected for use within discretionary programs as well as alternative products used in conjunction with IMS.
• Portfolio construction and implementation for discretionary programs
• Creation of new discretionary portfolios as business needs dictate
• Communication of asset managers, investment strategy and portfolio design
• Testing asset allocation policy for 1st Global Advisors, Inc. RIA and recommending changes as needed
• Developing capital market assumptions and integrating these into investment policy
• Working with third party due diligence firms on the selection and monitoring of asset managers
• Communicating research and recommendations on total group activities to the Investment Committee of 1st Global Advisors, Inc. and Executive Committee (as necessary)
• Enhancing the communication of total group capabilities and results to affiliated financial advisors
• Maintaining all research reports and due diligence files
• Conducting telephonic and in-person interviews with portfolio managers and staff
• Performing general capital market research
• Provide training to internal staff on investment policy, due diligence and portfolio creation
• Authoring of market commentary, marketing materials, client communications, portfolio change correspondence, investment committee reports, industry articles, whitepapers and other communications
• Maintenance of internal documentation of research efforts (Pivotal and electronic data held on 1st Global’s electronic storage and archive systems)
• Maintenance of dedicated research website for Financial Advisor use
• Adherence to regulatory mandates (SEC, FINRA, DOL, State)

MISSION AND SUMMARY OF POSITION
The Due Diligence Specialist supports the Due Diligence Analyst(s) in executing all departmental activities. The Due Diligence Specialist is expected to perform departmental activities that free up Analysts to conduct manager research, enhance policy, maintain education, perform market research, write commentary and engage with marketing. This generally means that administrative functions of the department, such as maintaining records, updating analysis and keeping notes of manager conference calls are all departmental activities that fall to the Specialist. Over time, Specialists may become Analysts.

The Due Diligence Specialist is expected to have existing financial services and capital markets experience. Additionally, the Due Diligence Specialist must be willing to enter into a regular and continuous course of study to obtain the CFA^® designation. The Due Diligence Specialist must be continually engaged in obtaining the designation until achievement, meaning that the Specialist must be prepared for and sit for each examination offered by the CFA Institute until the designation has been obtained. Metrics and timeframe for completion will be discussed further with qualified candidates.

KEY JOB FUNCTIONS
The Due Diligence Specialist will be specifically responsible for:
• Updating quantitative and qualitative research data
• Maintaining due diligence files
• Updating all existing communication materials
• Writing and Preparing communications
• Performing research directed by Due Diligence Analysts and reporting to same
• Participating in manager conference calls and office visits and maintaining records of
  these calls
• Maintenance of internal documentation of research efforts (Pivotal and electronic data held on 1st Global's electronic storage
  and archive systems)
• Maintenance of dedicated research website
• Assembling reporting for Investment Committee meetings
• Maintaining minutes of Investment Committee meetings
• Assisting in development and delivery of educational events (for internal staff and Financial Advisors)

 QUALIFICATIONS
• Securities licensing, generally 7, 24, 66 or equivalent
• 5 or more years experience in financial services, specifically in brokerage or investment advisory
• CFA®  or willingness to complete CFA®  through a regular course of study and examination

 SKILLS
• Knowledge of Capital Markets
• Familiarity with Intermediary distribution
• Familiarity with Fiduciary Standard
• Ability to demonstrate competency with portfolio math
• Knowledge and Support of the principles of diversification and rebalancing and a
  belief in long-term, strategic asset allocation
• Knowledge of asset managers
• Must have demonstrated strong analytical and organizational skills
• Must have excellent written and oral communication skills
• Must be able to communicate complicated investment concepts and strategies in
  a clear and concise manner
• Must be willing to take ownership of issues and work them to resolution
• Must have attention to detail and the ability to multi-task and prioritize jobs
  independently
• Must have strong computer skills, including expert proficiency in Excel and other MS Office applications
• Must be a team player, but also have the ability to work independently
• Past experience with Morningstar Direct? a plus

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This job description is not intended to be all-inclusive and may expand to include other duties or responsibilities that management may deem necessary from time to time.