Due Diligence Operations Manager

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. 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.