Complex Product Supervisor

We are seeking a Complex Products Supervisor to provide oversight of Alternatives, Structured Products, and Annuities. This role requires strong attention to detail, the ability to work within firm deadlines, and excellent interpersonal skills to support advisors while ensuring regulatory and supervisory standards are met.About the RoleThis role involves supervising and reviewing transactions involving Alternatives, Structured Products, and Annuities to ensure compliance with firm policies and regulatory requirements.Key ResponsibilitiesSupervise and review transactions involving Alternatives, Structured Products, and Annuities to ensure compliance with firm policies and regulatory requirementsConduct pre- and post-trade reviews, suitability assessments, and exception handlingProvide guidance and education to advisors regarding complex products and supervisory expectationsIdentify, escalate, and document potential compliance and risk issuesCollaborate with Compliance, Risk, Legal, and Business partners to support supervisory initiativesMaintain accurate records and documentation in accordance with FINRA and SEC regulationsManage multiple priorities effectively while meeting strict deadlinesParticipate in audits, regulatory inquiries, and internal reviews as neededQualificationsStrong attention to detail with the ability to identify risks and inconsistenciesProven ability to work effectively within deadlines in a fast-paced environmentStrong interpersonal and communication skills, with the ability to work collaboratively with advisors and internal partnersDemonstrated knowledge and hands-on experience with: Alternative Investments, Structured Products, AnnuitiesSolid understanding of FINRA, SEC, and firm supervisory requirementsLicenses & CertificationsRequired:Series 7, 63, 65Series 9/10 and/or 24Insurance LicensePreferred QualificationsPrior supervisory or principal experience in a broker-dealer or advisory environmentExperience interpreting and applying complex regulatory guidanceAbility to exercise sound judgment and make risk-based decisionsProficiency with supervisory systems and compliance tools