Apply Now

Due Diligence Operations Manager

Dallas, TX, US • Posted 2 hours ago • Updated 2 hours ago

Full Time

On-site

Cetera Financial Group, Inc.

Fitment

Dice Job Match Score™

🎯 Assessing qualifications...

Job Details

Skills

Product Management
Sales
Trading
Workflow Management
SEC
Supervision
Auditing
Process Modeling
Standard Operating Procedure
Issue Tracking
Service Level
Internal Control
Dashboard
KPI
Management Reporting
Reporting
Capacity Management
Continuous Improvement
Collaboration
Legal
Recruiting
Research
Artificial Intelligence
Training
Alternative Investments
Finance
Due Diligence
Operational Excellence
Workflow
Management
Analytical Skill
Attention To Detail
Documentation
Data Integrity
Communication
Leadership
Salesforce.com
Regulatory Compliance

Summary

Job Description

The Due Diligence Operations Manager is responsible for the operational execution, governance, and continuous improvement of processes that support the firm's product due diligence team. This role partners closely with Due Diligence,Risk, Compliance, Legal, Product Management, National Sales, the Trading Desk and Operations to ensure due diligence activities are performed in a consistent, timely, welldocumented, and regulatorready manner. The role focuses on operational discipline, workflow management, issue tracking, data integrity, and reporting-enabling riskbased product decisions while ensuring alignment with regulatory expectations (e.g., FINRA, SEC) and internal policies.

What You Will Do:

Operational Oversight & Execution
- Own and manage end?to?end operational workflows supporting product due?diligence reviews, approvals, renewals, and ongoing monitoring.
- Ensure due?diligence processes are executed consistently in accordance with internal policies, supervisory procedures, and regulatory requirements.
- Coordinate intake, prioritization, and tracking of new product requests and material product changes.
- Maintain operational readiness for audits, exams, and internal reviews by ensuring documentation, evidence, and approvals are complete and accessible.
- Identify opportunities to streamline workflows, improve cycle times, and enhance transparency across due?diligence activities.
- Develop, maintain, and enhance standard operating procedures (SOPs), controls, and operational playbooks.
- Partner with stakeholders to implement scalable solutions as product complexity, volume, or regulatory expectations evolve.
- Support technology enablement efforts, including workflow tools, data repositories, and reporting platforms.
- Review and respond to requests regarding product agreements/availability from auditors (both internal and external) and regulators
- Support the firm's product governance framework by ensuring appropriate escalation, issue tracking, and decision documentation.
- Monitor adherence to service?level expectations, internal controls, and risk?based review standards.
- Track and report operational risks, process gaps, and remediation efforts related to product due diligence.
- Partner with Compliance and Legal to ensure regulatory interpretations are operationalized effectively.
- Help manage the pipeline of requested product approvals.
- Manage the publication of Cetera's approved product lists
- Develop and maintain dashboards, KPIs, and management reporting related to due?diligence volume, turnaround times, exceptions, and trends.
- Provide clear, concise reporting to Risk & Compliance leadership and governance committees.
- Use data and insights to inform capacity planning, prioritization, and continuous improvement efforts.
Process Design & Continuous Improvement
- Identify opportunities to streamline workflows, improve cycle times, and enhance transparency across due?diligence activities.
- Develop, maintain, and enhance standard operating procedures (SOPs), controls, and operational playbooks.
- Partner with stakeholders to implement scalable solutions as product complexity, volume, or regulatory expectations evolve.
- Support technology enablement efforts, including workflow tools, data repositories, and reporting platforms.
Risk, Governance & Controls
- Review and respond to requests regarding product agreements/availability from auditors (both internal and external) and regulators
- Support the firm's product governance framework by ensuring appropriate escalation, issue tracking, and decision documentation.
- Monitor adherence to service?level expectations, internal controls, and risk?based review standards.
- Track and report operational risks, process gaps, and remediation efforts related to product due diligence.
- Partner with Compliance and Legal to ensure regulatory interpretations are operationalized effectively.
- Help manage the pipeline of requested product approvals.
Reporting & Metrics
- Manage the publication of Cetera's approved product lists
- Develop and maintain dashboards, KPIs, and management reporting related to due?diligence volume, turnaround times, exceptions, and trends.
- Provide clear, concise reporting to Risk & Compliance leadership and governance committees.
- Use data and insights to inform capacity planning, prioritization, and continuous improvement efforts.
Cross?Functional Collaboration
- Act as a key operational liaison between Product Due Diligence, Compliance, Risk, Legal, Product, Operations, and Technology teams.
- Work with Cetera IT to troubleshoot any issue with data feeds that share approved product information to AdviceWorks (our internal website) and to our approved custodians
- Assist recruiting team in researching whether older products were approved by Cetera or if we have a servicing agreement, and determining if products can be transferred/held at Cetera.
- Facilitate alignment across stakeholders to support informed product decisions while balancing risk, compliance, and business needs.
- Support governance forums, committees, and working groups as needed.
Manage the AI Insight training and education system for alternative investments.
Respond to general department inquiries, as needed.
Prepare product activation notices for approved products
Maintain documentation related to product compensation and interface with commission/operations teams to provide necessary information.

What You Need To Have:

Bachelor's degree in finance or a related field or equivalent.
Minimum of 5 years of due diligence experience in a broker-dealer.
Operational Excellence: Strong ability to design, execute, optimize complex workflows, manage high volumes under tight deadlines.
Risk & Control Mindset: Comfort operating within a highly regulated, risk ? based environment.
Stakeholder Influence: Ability to partner effectively across functions without direct authority.
Analytical & Detail ? Oriented: Strong attention to accuracy, documentation, and data integrity.
Communication: Clear, concise communicator capable of translating complex issues for diverse audiences.
Change Leadership: Able to drive improvement while balancing speed, quality, and compliance.

What's Nice to Have:

Salesforce experience preferred
FINRA registrations, risk/compliance credentials preferred

Travel Requirements: Up to ( 10 %)

Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.

Dice Id: RTX1a6d2c
Position Id: 6305
Posted 2 hours ago

Company Info

About Cetera Financial Group, Inc.

Advancing What's Next

Cetera Financial Group, Inc. is transforming how advisors guide individuals and families to achieve financial well-being at every stage of their lives.

We’re enablers. Mentors. Dream builders. Our purpose is to turn financial aspirations into reality. Within our community lies a vibrant wellspring of growth and opportunity for financial professionals, financial institutions, and individual investors alike. As a premier financial services firm, we don’t just deliver financial technology, bespoke guidance, research and market intelligence, and collaborative client-service platforms. We build environments where ideas thrive, connections flourish, and ambitions become remarkable achievements. Driven to deliver unwavering support and innovative solutions to help people live their purpose, we empower each other and the communities around us to bring a stronger tomorrow to life.

Go to company profile

Create job alert

Never miss an opportunity! Create an alert based on the job you applied for.

No location provided

•

Today

Job Description "Relocation to Dallas, TX" The Large Enterprise Business Development Leader is responsible for driving advisor recruiting growth through strategic execution, people leadership, and performance accountability. This role leads the Large Enterprise Business Development team, partners closely with senior leadership and Client Value teams, and ensures consistent execution of business development initiatives while delivering results aligned to key strategic KPIs. This position is a hyb

Full-time

USD 107,000.00 - 190,000.00 per year

Search all similar jobs