Manager managing a small team of administrators providing efficient client service at Apex Group. Focus on investor queries, team collaboration, and maintaining relationships.
About the role
- Senior Manager leading due diligence for alternative investment solutions in wealth management. Ensuring regulatory compliance and managing product oversight frameworks with stakeholder collaboration.
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.
Requirements
- 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.
Benefits
- Up to 15% travel
- Hybrid work environment
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
Responsable fonctionnel du projet de transformation ERP chez GE Vernova, guidant l'implémentation et l'optimisation. Collaboration avec les équipes pour améliorer l'efficacité opérationnelle.
Executive Strategy Messaging and Readiness Manager at Regions, developing strategic messaging and high - stakes materials for Corporate Banking, integrating financial performance and competitive positioning.
HSEQ Manager overseeing compliance and quality systems to enhance Acusensus' safety initiatives. Collaborating with global teams and ensuring adherence to safety standards and practices in New Zealand.
Electronics Commodity Manager at Spellman overseeing sourcing and strategy for passive components in electronics manufacturing. Collaborating cross - functionally to ensure supply continuity and cost efficiency.
Business Analysis Manager at Capital One applying strategic and analytical skills to address company challenges. Collaborating with teams to shape the future of the Global Payment Network.
Configuration Manager providing program support for PMS 443’s Bridge Integration - Ship Control Systems. Ensures alignment and facilitates Configuration Management processes and outcomes.
HRIS Manager leading UKG system governance and HR technology optimization for global immigration processes. Collaborating with HR, Finance, IT, and business leaders to enhance HR technology platforms.
Senior Manager leading HRIS and benefits strategies at a growing company, collaborating with cross - functional teams. Responsible for system management, data integrity, and compliance in HR operations.
Assistant General Manager supporting the General Manager at Trulieve's Tallahassee retail store. Leading store operations, compliance, and a team of employees in the cannabis industry.