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HomeCompaniesEbhu Fa Us2 Oraclecloud Com CXDue Diligence Operations Manager

Due Diligence Operations Manager

Ebhu Fa Us2 Oraclecloud Com CX · Dallas, TX, United States; Dallas; Remote - CA · Hybrid · Active · Oracle Recruiting Cloud / Fusion HCM

Job facts

FieldValue
CompanyEbhu Fa Us2 Oraclecloud Com CX
TitleDue Diligence Operations Manager
Normalized title-
Department / teamRisk Management
LocationDallas, TX, United States
Work modelHybrid / Hybrid
Employment typeFull Time
Salary-
Statusactive
ATS providerOracle Recruiting Cloud / Fusion HCM
Posted / first seen2026-05-26 / 2026-05-31
Changed / last seen2026-06-10 / 2026-06-21

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PageWhat it containsOpen
Company jobsActive postings from Ebhu Fa Us2 Oraclecloud Com CX.Open
Company breakdownsRole, location, ATS, and work model facets for this company.Open
ATS provider jobsActive postings observed through Oracle Recruiting Cloud / Fusion HCM.Open
Provider filtered searchThe same provider as a filtered job collection.Open
City jobsActive postings in Dallas.Open
Department jobsActive postings in Risk Management.Open
Work model jobsActive Hybrid postings.Open
Lifecycle eventsOpen, update, close, and reopen events for this posting.Open
Original postingCanonical source or apply URL captured from the ATS.Open

Linked records

CompanyEbhu Fa Us2 Oraclecloud Com CX
Source502ad767-299e-41e9-b793-5d420dedf561
ATS providerOracle Recruiting Cloud / Fusion HCM

Description

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 %) Company About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: 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. About Cetera Financial Group: Cetera Financial Group ® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. " Cetera Financial Group " refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC , Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors . All firms are members FINRA/SIPC. 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. Agencies please note : this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.

Full job record

Job IDbcf520ea66d08e4239eff305b0019c1d956da31b
Org ID37f4fbf2-f2c3-4c91-bc93-15e5dac10814
Source ID502ad767-299e-41e9-b793-5d420dedf561
Board ID502ad767-299e-41e9-b793-5d420dedf561
Provideroracle_hcm
Provider Job Key6305
TitleDue Diligence Operations Manager
Normalized Title
Statusactive
Activeyes
Location TextDallas, TX, United States; Dallas; Remote - CA
DepartmentRisk Management
Team
Employment Typefull_time
Workplace Typehybrid
Remote Policyhybrid
CountryUnited States
RegionTX
CityDallas
Salary RawDescription 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 %) Company About Us What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: 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. About Cetera Financial Group: Cetera Financial Group ® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions. Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology. " Cetera Financial Group " refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC , Cetera Wealth Services LLC (f/k/a Cetera Advisor Networks), Cetera Investment Services LLC (marketed as Cetera Financial Institutions, or Cetera Investors . All firms are members FINRA/SIPC. 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. Agencies please note : this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated. Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.
Salary Min
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Salary Currency
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Source URLhttps://ebhu.fa.us2.oraclecloud.com/hcmUI/CandidateExperience/en/sites/Careers/job/6305
Apply URLhttps://ebhu.fa.us2.oraclecloud.com/hcmUI/CandidateExperience/en/sites/Careers/job/6305
First Seen At2026-05-31 18:00:25Z
Last Seen At2026-06-21 12:05:17Z
Last Checked At2026-06-21 12:05:17Z
Last Changed At2026-06-10 11:12:14Z
Inactive At
Source Posted At2026-05-26 18:51:46Z
Source Updated At
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    "ExternalDescriptionStr": "<p><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">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. 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margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Ensure due‑diligence processes are executed consistently in accordance with internal policies, supervisory procedures, and regulatory requirements.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Coordinate intake, prioritization, and tracking of new product requests and material product changes.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Maintain operational readiness for audits, exams, and internal reviews by ensuring documentation, evidence, and approvals are complete and accessible.</span></span></p></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Identify opportunities to streamline workflows, improve cycle times, and enhance transparency across due‑diligence activities.</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Develop, maintain, and enhance standard operating procedures (SOPs), controls, and operational playbooks.</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Partner with stakeholders to implement scalable solutions as product complexity, volume, or regulatory expectations evolve.</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Support technology enablement efforts, including workflow tools, data repositories, and reporting platforms.</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Review and respond to requests regarding product agreements/availability from auditors (both internal and external) and regulators</span></span></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Support the firm’s product governance framework by ensuring appropriate escalation, issue tracking, and decision documentation.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Monitor adherence to service‑level expectations, internal controls, and risk‑based review standards.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Track and report operational risks, process gaps, and remediation efforts related to product due diligence.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Partner with Compliance and Legal to ensure regulatory interpretations are operationalized effectively.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Help manage the pipeline of requested product approvals.</span></span></p></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Manage the publication of Cetera’s approved product lists</span></span></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Develop and maintain dashboards, KPIs, and management reporting related to due‑diligence volume, turnaround times, exceptions, and trends.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Provide clear, concise reporting to Risk &amp; Compliance leadership and governance committees.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Use data and insights to inform capacity planning, prioritization, and continuous improvement efforts.</span></span></p></li></ul></li><li><p style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\"><strong>Process Design &amp; Continuous Improvement</strong></span></span></p><ul><li><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; 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margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Track and report operational risks, process gaps, and remediation efforts related to product due diligence.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Partner with Compliance and Legal to ensure regulatory interpretations are operationalized effectively.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Help manage the pipeline of requested product approvals.</span></span></p></li></ul></li><li><p style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\"><strong>Reporting &amp; Metrics</strong></span></span></p><ul><li><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Manage the publication of Cetera’s approved product lists</span></span></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Develop and maintain dashboards, KPIs, and management reporting related to due‑diligence volume, turnaround times, exceptions, and trends.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Provide clear, concise reporting to Risk &amp; Compliance leadership and governance committees.</span></span></p></li><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Use data and insights to inform capacity planning, prioritization, and continuous improvement efforts.</span></span></p></li></ul></li><li><p style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\"><strong>Cross‑Functional Collaboration</strong></span></span></p><ul><li><p style=\"margin-bottom: 0in; margin-right: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Act as a key operational liaison between Product Due Diligence, Compliance, Risk, Legal, Product, Operations, and Technology teams.</span></span></p></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">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</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">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.&nbsp;</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Facilitate alignment across stakeholders to support informed product decisions while balancing risk, compliance, and business needs.</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Support governance forums, committees, and working groups as needed.</span></span></li></ul></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Manage the AI Insight training and education system for alternative investments.</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Respond to general department inquiries, as needed.&nbsp;</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Prepare product activation notices for approved products</span></span></li><li style=\"margin-bottom: 0in; margin-top: 0in;\"><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Maintain documentation related to product compensation and interface with commission/operations teams to provide necessary information.&nbsp;</span></span></li></ul><p style=\"margin-bottom: 0in; margin-top: 0in;\">&nbsp;</p><p>&nbsp;</p><p><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\"><strong><u>What You Need To Have:&nbsp;</u></strong></span></span></p><ul style=\"list-style-type: disc;\"><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Bachelor's degree in finance or a related field or equivalent.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Minimum of 5 years of due diligence experience in a broker-dealer.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Operational Excellence: Strong ability to design, execute, optimize complex workflows, manage high volumes under tight deadlines.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Risk &amp; Control Mindset: Comfort operating within a highly regulated, risk</span></span><span style=\"color: black; font-family: &quot;Cambria Math&quot;, serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">‑</span></span><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">based environment.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Stakeholder Influence: Ability to partner effectively across functions without direct authority.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Analytical &amp; Detail</span></span><span style=\"color: black; font-family: &quot;Cambria Math&quot;, serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">‑</span></span><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Oriented: Strong attention to accuracy, documentation, and data integrity.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Communication: Clear, concise communicator capable of translating complex issues for diverse audiences.</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Change Leadership: Able to drive improvement while balancing speed, quality, and compliance.</span></span></li></ul><p>&nbsp;</p><p><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\"><strong><u>What's Nice to Have:&nbsp;</u></strong></span></span></p><ul style=\"list-style-type: disc;\"><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Salesforce experience preferred</span></span></li><li><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">FINRA registrations, risk/compliance credentials preferred</span></span></li></ul><p>&nbsp;</p><p><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\"><strong>Travel Requirements:&nbsp;</strong></span></span><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">Up to (</span></span><span style=\"font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; line-height: 115%;\">10</span></span><span style=\"color: black; font-family: Arial, sans-serif;\"><span style=\"font-size: 10pt; 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