Manager, Complex Product Supervision

Job Description

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.

• 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.

• 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.

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.

Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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+ 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 fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), Life Lock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work…