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Job Description
This position is responsible for leading a team of Complex Product Field Supervision Directors who provide compliance support to our branch offices and internal departments. Products supervised by the team currently (or planned in the near future) include alternative investments, structured notes, exchange funds, options or options overlay strategies, and cryptocurrency related products. The scope of products supervised by this group may expand in the future as new complex products are introduced such as those that utilize derivative or derivative-like strategies, have unusual redemption features, or otherwise would be difficult for a retail investor to understand.
Complex Products Field Supervision Directors (FSDs) are registered principals with supervisory responsibility for assigned branch teams with an emphasis on the transactions and on-going supervision of various complex products. A Complex Products FSD utilizes internal and external systems to complete the upfront and ongoing supervision of complex products.
Additional responsibilities include providing support to branch offices, as well as providing subject matter expertise on the various products, industry regulations, and firm policies in the areas of complex products.
What You'll Do:
Complex Products Field Supervision Directors (FSDs) are registered principals with supervisory responsibility for assigned branch teams with an emphasis on the transactions and on-going supervision of various complex products. A Complex Products FSD utilizes internal and external systems to complete the upfront and ongoing supervision of complex products.
Additional responsibilities include providing support to branch offices, as well as providing subject matter expertise on the various products, industry regulations, and firm policies in the areas of complex products.
What You'll Do:
- Oversee the performance of the Complex Products Supervision Team ensuring timely and complete reviews and support.
- Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory decisions.
- Manage and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands including clearly documented policies and procedures.
- Develop and continuously evolve the training expectations to ensure team remains fully knowledgeable on complex products and industry trends
- Perform risk oversight of designated principals, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.
- Interface with senior management to provide clarity and strategically influence decisions
- Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client.
- Attract and retain a diverse team to meet current and future business goals.
- Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive supervision.
- Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan.
- Foster constructive partnerships by influencing and positively impacting discussions as a key decision maker with Branch Teams and various stakeholders across the firm.
- Represent the firm as a leader within the department during industry conferences, legal proceedings, and regulatory matters.
- Advanced knowledge and expertise of the firm’s complex product offerings.
- Authorize and reconcile routine and non-routine business expenses and client reimbursements to ensure appropriate usage of firm resources.
- Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs).