Lead, Complex Investment Product Oversight

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

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

Life insurance

PTO

Holidays

Wellness days

401(k)

Parental leave

HSA

FSA

EAP

Identity protection

Job summary

Cetera Financial Group in Dallas, TX seeks an experienced Manager for the Complex Products team to oversee supervision of complex investment products, including alternatives and annuities. You will lead a team, ensure regulatory adherence, and serve as SME for internal and client inquiries.

The role requires deep product knowledge, FINRA licensing, and strong leadership to drive training and collaboration with Legal, Compliance, Risk, and Operations.

Qualifications

• Minimum 7–10 years in financial services with 3–5 years in leadership.
• Proven expertise in complex investment products (alternatives, annuities).
• Strong understanding of regulatory frameworks and compliance.
• Experience in broker/dealer or wealth management environments.

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

Leadership

Investment knowledge

Education

Bachelor’s degree

MBA preferred

Job description

Cetera Financial Group in Dallas, TX seeks an experienced Manager for the Complex Products team to oversee supervision of complex investment products, including alternatives and annuities. You will lead a team, ensure regulatory adherence, and serve as SME for internal and client inquiries.

The role requires deep product knowledge, FINRA licensing, and strong leadership to drive training and collaboration with Legal, Compliance, Risk, and Operations.