Lead, Complex Investment Product Oversight

Cetera Financial Group Inc; Dallas (TX); On-site; USD 103,000 - 130,000; Full time

Job summary

Cetera Financial Group Inc. seeks a strategic Manager for the Complex Products team in Dallas. You will lead a group responsible for oversight of complex investment products, including alternatives and annuities, ensuring adherence to firm policy and regulatory rules.

The role requires deep product knowledge, regulatory awareness, and leadership to guide supervisors and stakeholders. A focus on collaboration with Legal, Compliance, Risk, and Operations is essential.

Qualifications

• Strong analytical and problem-solving abilities required.
• Excellent communication and presentation skills.
• Ability to manage cross-functional teams and projects.
• Deep knowledge of investment suitability and risk profiling.

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 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.

Skills

Analytical skills

Communication & presentation

Cross-functional leadership

Investment knowledge & risk profiling

Education

Bachelor’s degree in Finance/Economics/Business

Master’s/MBA preferred

Job description

Cetera Financial Group Inc. seeks a strategic Manager for the Complex Products team in Dallas. You will lead a group responsible for oversight of complex investment products, including alternatives and annuities, ensuring adherence to firm policy and regulatory rules.

The role requires deep product knowledge, regulatory awareness, and leadership to guide supervisors and stakeholders. A focus on collaboration with Legal, Compliance, Risk, and Operations is essential.