Manager, Complex Product Supervision

Cetera • Dallas, TX

5d • $103,000 - $130,000 • Hybrid

About The Position

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.

Requirements

• FINRA Series 7 – General Securities Representative (Required)
• FINRA Series 24 – General Securities Principal (Required)
• Bachelor’s degree in Finance, Economics, Business Administration, or related field
• 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.
• 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.

Nice To Haves

• FINRA Series 63 and/or 66 – Uniform Securities Agent/Investment Adviser (Preferred)
• State Life and Health Insurance License (Preferred, but not required)
• Master’s or MBA preferred

Responsibilities

• 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.

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+ 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), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

What This Job Offers

• Job Type: Full-time
• Career Level: Manager