Client Due Diligence & Compliance

Key Responsibilities

• Manage DDQ/RFP Responses: Take ownership of the end-to-end process for completing client and prospect Due Diligence Questionnaires (DDQs), Requests for Information (RFIs), and Requests for Proposals (RFPs).
• Content Management: Maintain and continuously improve our central repository of standardized DDQ responses, ensuring all information is current, accurate, and consistent.
• Cross-Functional Collaboration: Liaise effectively with subject matter experts from various departments, including Information Security, Legal, Product Management, Engineering, HR, and Finance, to gather and validate information.
• Documentation & Reporting: Log all incidents and actions taken in the ticketing system (Zendesk). Generate daily/weekly reports on alert trends and incident resolutions.
• Root Cause Analysis: Collaborate with technical teams to identify the root causes of recurring issues and assist in implementing preventive measures.
• Continuous Improvement: Provide feedback on monitoring tools and processes to enhance alert accuracy and reduce false positives.
  

Required Skills & Qualifications

• Experience: 3-5+ years of direct experience in completing DDQs, RFPs, or in a related compliance, vendor management, or audit role.
• Industry Knowledge: Prior experience within a FinTech, B2B SaaS, or financial services firm is essential.
• Regulatory Familiarity: Strong understanding of key compliance and security frameworks (e.g., SOC 2, ISO 27001) and data privacy regulations (e.g., GDPR).
• Communication Skills: Exceptional written and verbal communication skills, with the ability to distill complex technical and legal information into clear, concise language.
• Project Management: Proven ability to manage multiple projects with competing deadlines in a fast-paced environment.
• Technical Proficiency: Advanced proficiency in the Microsoft Office Suite (Word, Excel, PowerPoint)
  

Preferred Qualifications

• Direct experience working with clients in the alternative asset management space (hedge funds, private equity).
• Hands-on experience with DDQ/RFP management.
• Bachelor’s degree in Finance, Business Administration, or a related field.