Team Leader - Field Supervision Complex Products

About the role

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.

Responsibilities

• Oversight of 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.
• Athrive 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.
• 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).

Requirements

• Extensive experience (3+ years) supervising and/or leading teams involving complex investment products required.
• Series 7 & 66 (or equivalent) required.
• Series 9 &10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire).
• Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems.
• Leadership, analytical, investigative, and decision-making skills are required.
• Bachelor’s degree or equivalent industry experience.
• Graduate level degree or additional industry certification(s) is preferred.
• Additional training and learning as needed to support onboarding of new products.

Skills

Advanced knowledge and expertise of the firm’s complex product offerings.

Benefits

• Medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage.
• Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates.
• Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account.
• Associates may be eligible for bonuses and profit sharing.
• All associates are eligible for the firm's Employee Assistance Program.

Pay

Compensation provided for using, not obtaining, the rating.

Schedule

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.