Due Diligence Analyst

Overview

H.C. Wainwright & Co., LLC, a reputable boutique healthcare investment bank, is hiring a Due Diligence Analyst or Associate to join their corporate finance division. This role offers remote work options with possible locations in New York or Miami. The ideal candidate is expected to have a strong background in due diligence, particularly related to investment banking, accounting, or legal environments with emphasis on securities offerings.

Key Responsibilities

• Coordinate with senior client management, banking teams, legal advisors, auditors, and consultants to complete due diligence activities associated with securities offerings.
• Conduct comprehensive customer due diligence (CDD), enhanced due diligence (EDD), and anti-money laundering (AML) and Office of Foreign Assets Control (OFAC) compliance research.
• Oversee transactional due diligence by reviewing and preparing questionnaires, financial reports, commercial contracts, press releases, news, social media content, background checks, and other critical documents.
• Evaluate the thoroughness, accuracy, and quality of due diligence documents, identify high-risk elements, red flags, and historical transactions, while applying risk mitigation for clients.
• Utilize multiple sources including internet, SEC public filings, social media, legal databases, and third-party services to uncover negative news and conduct detailed background research on prospects and clients.
• Analyze public company filings to assess risk factors and ensure appropriate disclosure and communication of diligence findings.
• Interpret client financial data to reveal operational trends, liquidity conditions, working capital issues, liabilities, and risks.
• Effectively communicate findings within the team and with clients, facilitating requests for information and addressing concerns.
• Manage and optimize internal firm systems and assist with process improvements and tool calibrations.
• Maintain organized electronic and physical filing systems for transaction-related documentation.
• Keep up-to-date firm databases and administrative lists used for daily operations.
• Support routine diligence tasks such as document filing, scheduling coordination, KYC/AML procedures, and maintaining databases.

Qualifications and Experience

• Bachelor’s degree or equivalent educational qualification.
• Minimum of two years’ experience in due diligence focused on legal securities law, investment banks, consulting firms, or law firms dealing with securities transactions.
• Proficient with social media platforms, specialized databases, and search engines relevant to due diligence research.
• Familiar with securities transactions and public SEC filings, including but not limited to 10-K, 10-Q, Proxy statements, and others.
• Skilled in accessing and interpreting industry analysis, SEC filings, data rooms, legal dockets, and regulatory frameworks.
• Capable of juggling multiple projects effectively in a fast-paced, high-pressure environment.
• Strong organizational talent, excellent time management, prioritization skills, and a demonstrated sense of urgency.

Compensation

The salary for this position ranges between $60,000 and $80,000 per year.

About the Company

Founded in 1868, H.C. Wainwright is a New York-based boutique investment bank specializing in healthcare. The firm focuses on corporate finance, strategic advisory, and related services for public and private growth companies across various sectors and regions.