Manager, Complex Product Supervision

We are seeking a strategic and experienced Manager for the Complex Products team. This role will lead a team responsible for the oversight and supervision of complex investment products, including alternative investments and annuities. This role requires deep product knowledge, regulatory awareness, and leadership capabilities to ensure supervisors on the team are reviewing complex products transactions pursuant to firm policy and regulatory rules.

What You'll Do:

• Lead and manage a team of supervision specialists focused on complex investment products.

• Collaborate with Legal, Compliance, Risk, and Operations to ensure regulatory adherence (e.g., Reg BI, FINRA rules).

• Serve as subject matter expert (SME) on complex products for internal stakeholders and clients.

• Develop and maintain product training materials and conduct training sessions for advisors and internal teams.

• Act as escalation point for product-related issues and inquiries.

What You Need to Have:

• Licensing

  • FINRA Series 7 – General Securities Representative (Required)

  • FINRA Series 24 – General Securities Principal (Required)

  • FINRA Series 63 and/or 66 – Uniform Securities Agent/Investment Adviser (Preferred)

  • State Life and Health Insurance License (Preferred, but not required)

• Education

  • Bachelor’s degree in Finance, Economics, Business Administration, or related field (Master’s or MBA preferred)

• Experience

  • Minimum 7–10 years of experience in the financial services industry, with at least 3–5 years in a leadership or product management role.

  • Proven expertise in complex investment products (e.g., alternatives, annuities, etc.).

  • Strong understanding of regulatory frameworks and compliance requirements.

  • Experience working in a broker/dealer or wealth management environment.

• Skills & Competencies

  • Strong analytical and problem-solving skills.

  • Excellent communication and presentation abilities.

  • Ability to manage cross-functional teams and projects.

  • Deep knowledge of investment suitability and risk profiling.

Compensation:

The base salary range for this role in Dallas, TX is $103,000-$130,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.

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