Cetera Financial Group · 12 hours ago
Senior Manager, Due Diligence
Dallas, TX, United States
Full-time
Hybrid
Senior Level, Lead/Staff
10+ years expCetera Financial Group is seeking a Senior Manager, Due Diligence – Alternative Products to lead the evaluation, selection, and oversight of alternative investment solutions. This role involves ensuring product compliance with regulatory standards and collaborating with various teams to maintain a high-quality suite of offerings that meet client needs.
AdviceFinancial ServicesRetailRetirementWealth Management
Responsibilities
Lead comprehensive initial and ongoing due diligence for alternative investment products, including private equity, private credit, interval funds, non-traded REITs/BDCs, hedge funds, and structured solutions
Evaluate investment managers, strategy merits, risk factors, operational processes, financial strength, and historical performance
Produce high-quality due diligence reports, recommendations, and risk assessments for internal committees and executive stakeholders
Present findings and recommendations to internal product oversight committees and senior leadership
Develop and maintain monitoring frameworks for existing products, including performance reviews, sponsor financial assessments, operational risk reviews, and industry benchmarking
Identify emerging risks and ensure timely escalation of issues or adverse developments
Ensure all alternative products remain aligned with the firm’s governance, policies, and suitability standards
Stay current on regulatory developments affecting alternative investments (FINRA, SEC, DOL, state regulations)
Partner with Compliance and Legal teams to ensure product structures, marketing materials, and selling agreements meet regulatory and firm standards
Support audits, regulatory inquiries, and internal control testing related to alternative investments
Serve as primary point of contact with alternative investment sponsors and third-party due diligence providers
Negotiate and manage product onboarding requirements, data needs, and service-level expectations
Represent the firm professionally in external due diligence meetings, site visits, and industry events
Partner with product management, advisor support, sales teams, and investment research to implement and maintain the alternative platform
Provide subject matter expertise and training to financial advisors and internal stakeholders
Collaborate on product lifecycle activities including additions, closures, and strategic platform enhancements
Maintain accurate due diligence files, monitoring logs, committee documentation, and product data repositories
Prepare updates for senior management, risk committees, and governance bodies
Support the creation of advisor facing materials and internal communication on product changes or risks
Qualification
Required
Bachelor's degree in Finance, Economics, Accounting, or related field
5+ years of experience with alternative products
10+ years of experience in due diligence at a broker-dealer
Expertise in alternative investments and non‑traditional product structures
Strong understanding of regulatory requirements governing alternative investments (FINRA, SEC, Reg BI, etc.)
Excellent analytical, writing, and presentation skills
Ability to lead complex reviews, manage multiple priorities, and make sound recommendations
Preferred
Advanced degree (MBA, MS Finance) or professional designation (CAIA strongly preferred; CFA a plus)
Prior experience with private markets due diligence
Experience working directly with financial advisors or wealth management platforms
Company
Cetera Financial Group
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
1001-5000 employees
H1B Sponsorship
Cetera Financial Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (3)
2023 (5)
2022 (2)
2021 (2)
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired
Leadership Team
Michael Durbin
Chief Executive Officer
Dan Burkott
Chief Compliance Officer - Tax Channel
Recent News
2026-01-22
2026-01-07
2026-01-07
Company data provided by crunchbase