Due Diligence Operations Manager

Cetera Financial Group; Dallas (TX); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Health, dental, vision and life insurance

20+ days of paid time off

401(k) Savings plan with company contribution

Job summary

Cetera Financial Group seeks a Due Diligence Operations Manager in Dallas, Texas. This pivotal role is responsible for operational execution, governance, and continuous improvement of due diligence processes. The candidate will partner with various departments to ensure compliance and efficiency in workflows. Qualifications include a Bachelor's degree and 5+ years of due diligence experience. The position offers competitive benefits including health insurance, PTO, and a 401(k) plan.

Qualifications

• Minimum of 5 years of due diligence experience in a broker-dealer.
• Ability to partner effectively across functions without direct authority.
• Strong ability to design, execute, and optimize complex workflows.

Responsibilities

• Own and manage end-to-end operational workflows for product due diligence.
• Ensure processes are executed in accordance with internal policies and regulations.
• Develop and enhance standard operating procedures and operational playbooks.

Skills

Workflow design

Risk management

Attention to detail

Data integrity

Clear communication

Education

Bachelor's degree in finance or related field

Tools

Salesforce

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, well‑documented, and regulator‑ready manner.

Responsibilities

• 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 and availability from auditors (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 publication of the firm’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.
• Act as a key operational liaison between Product Due Diligence, Compliance, Risk, Legal, Product, Operations, and Technology teams.
• Work with IT to troubleshoot data feeds sharing approved product information to internal platforms and custodians.
• Assist the recruiting team in researching older product approvals, servicing agreements, and transfer eligibility.
• 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 AI Insight training and education system for alternative investments.
• Respond to general department inquiries and prepare product activation notices.
• Maintain documentation related to product compensation and interface with commission/operations teams.

Qualifications

• Bachelor’s degree in finance or a related field or equivalent.
• Minimum of 5 years of due diligence experience in a broker‑dealer.
• Strong ability to design, execute, and optimize complex workflows and manage high volumes under tight deadlines.
• Comfort operating within a highly regulated, risk‑based environment.
• Ability to partner effectively across functions without direct authority.
• Strong attention to accuracy, documentation, and data integrity.
• Clear, concise communication skills capable of translating complex issues for diverse audiences.
• Ability to drive improvement while balancing speed, quality, and compliance.

Nice to Have

• Salesforce experience.
• FINRA registrations, risk/compliance credentials.

Travel Requirements

Up to 10 %.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to help plan‑ahead for a strong financial future.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

Equal Employment Opportunity Statement

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.