Senior Due Diligence Officer

Overview

We are seeking a Senior Due Diligence Officer with deep experience in alternative investments to join a full-service broker-dealer recognized as a leader in the alternatives space. Due diligence is a core strategic function of the firm and directly supports platform credibility, financial professional confidence, and risk discipline.

This role will report to the Chief Due Diligence Officer and requires strong technical judgment, disciplined analysis, and the ability to contribute beyond formal due-diligence reviews. The role requires strong engagement with senior leadership, financial professionals, and sponsors and is best suited for a professional comfortable operating at a senior, highly visible level across the organization.

Role Requirements

The Senior Due Diligence Officer plays a key role in sponsor, manager, and product oversight across the alternative investment and RIA platforms. Responsibilities include managing RIA due diligence, performing alternative investment due diligence for the broker-dealer, refining review processes, and conducting annual manager and sponsor reviews. The role serves as a primary resource for field questions related to product due diligence and supports education and communications.

The position includes direct responsibility for reviewing new sponsors, product syndications, and money managers across DSTs, REITs including NAV and non-traded structures, interval funds, BDCs, private funds, and other Reg D offerings. Reviews focus on investment structure, risk and reward alignment, fee fairness, conflicts, assumptions, and overall platform fit.

In addition to individual review responsibilities, this role provides day-to-day leadership, oversight, and direction for a small team of due-diligence professionals, helping prioritize workload, ensure consistency in review standards, and support professional development. The Senior Due Diligence Officer acts as a key liaison to the broader due-diligence team, helping translate strategy into execution.

The Senior Due Diligence Officer contributes to due-diligence update calls, firm conference presentations, and internal meetings, and provides thoughtful input on broader firm initiatives related to alternatives, compliance, and platform strategy. Industry engagement through conferences, sponsor meetings, advisor meetings, and firm events is an expected part of the role – Some travel required.

Qualifications

Candidates should have extensive experience in alternative investment and money manager due diligence, with meaningful exposure to broker-dealer platforms. Required licenses include Series 7, with Series 24 and Series 65. Other certifications or licenses are a plus.

Required Attributes

Highly analytical, detail-oriented, and disciplined in documentation. Comfortable exercising independent judgment, clearly articulating conclusions, and defending due-diligence decisions with financial professionals, sponsors, and senior leadership. Demonstrated ability to provide guidance, mentorship, and direction within a collaborative team environment. Clear communicator able to explain complex risks in practical terms. Motivated by long-term growth and leadership development.

Why This Role

This is an opportunity to join a firm where due diligence is central to decision-making. The role offers direct exposure to senior leadership, meaningful influence over platform standards, and long-term growth within a stable, well-rounded independent firm with strong alternative investments, RIA, and insurance platforms.