Manager, Complex Product Supervision

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)

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)

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.

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.

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.

About Us

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), 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

Cetera Financial Group ® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note : this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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