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About the role
- Director of Due Diligence overseeing and enhancing product research and compliance frameworks at Cetera Financial. Leading evaluations and operational reviews to maintain robust due diligence policies.
Responsibilities
- Oversee and Enhance Product Due Diligence Processes
- Conduct Product Research and Analysis
- Monitor Ongoing Product Shelf Quality
- Conduct Operational and Regulatory Due Diligence
- Ensure Regulatory Compliance & Risk Management
- Governance & Committee Leadership
- Strategic Product Portfolio Management
- Cross‑Functional Collaboration & Advisor Support
- Reporting & Documentation
- Leadership & Talent Development
Requirements
- Bachelor's degree in finance or a related field or equivalent.
- Minimum of 15 years of experience in Product Due Diligence, preferably in the Financial Services Industry.
- Deep understanding of a broad financial product universe, including annuities, life insurance, mutual funds, ETFs, managed accounts, structured products, and alternative investments.
- Understanding of market trends, product lifecycle economics, and competitive landscape analysis.
- Expertise in both quantitative and qualitative product evaluation methodologies (e.g., expenses, performance, risk measures, consistency, product structure, manager review).
- Knowledge of operational due‑diligence areas such as internal controls, trade processing, valuation practices, NAV analysis, and regulatory compliance programs.
- Strong understanding of regulatory frameworks applicable to broker‑dealers (e.g., Reg BI, FINRA requirements, SEC oversight) and how they apply to product approval and oversight.
- Ability to develop and maintain policies, procedures, governance charters, and documentation required for regulatory compliance and audits.
- Capacity to evaluate complex product structures (e.g., crediting methods, riders, alternative investment strategies).
- Ability to manage the entire product portfolio with an eye toward competitiveness, profitability, and long‑term business strategy.
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.
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