Due Diligence Operations Manager

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Due Diligence Operations Manager responsible for operational execution of product due diligence at Cetera Financial Group. Collaborating with multiple departments to ensure compliance and efficiency in workflows.

Posted 5/12/2026full-timeDallas • Texas • 🇺🇸 United StatesMid-LevelSeniorWebsite

About the role

Key responsibilities & impact

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.
Track and report operational risks, process gaps, and remediation efforts related to product due diligence.
Help manage the pipeline of requested product approvals.
Develop and maintain dashboards, KPIs, and management reporting related to due‑diligence volume, turnaround times, exceptions, and trends.

Requirements

What you’ll need

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.

Benefits

Comp & perks

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 to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
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.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

due diligenceoperational workflowsstandard operating procedurescontrolsdashboardsKPIsmanagement reportingrisk managementprocess optimizationdata integrity

Soft Skills

analyticaldetail-orientedcommunicationstakeholder influencechange leadershipoperational excellenceproblem-solvingcollaborationtime managementadaptability

Certifications

Bachelor's degree in financebroker-dealer compliance certificationproject management certificationrisk management certificationoperational excellence certificationdata analysis certificationinternal audit certificationregulatory compliance certificationSix Sigma certificationLean certification