Due Diligence Operations Manager

Role Overview

• 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

• 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

• 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.