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Complex Product Supervisor

Company: D.A. Davidson & Co.
Location: Seattle
Posted on: February 22, 2021

Job Description:

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients' financial well-being, we also work to strengthen local communities-and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report. Under the supervision of the Wealth Management Chief Supervisory Officer ("CSO"), the Complex Product Supervisor serves as the supervisory expert and centralized principal reviewer of Davidson's complex product offerings, with a primary focus on annuities and insurance; alternative investments, and structured products/options. This role also works closely with financial professionals, branch office managers, and the Advisor Solutions Team who administers many of the programs that offer such complex products. Experience and Skills Qualifications/Requirements:
* Bachelor's degree in finance, accounting or business-related field; or relevant securities industry experience.
* Applicable industry exams: FINRA SIE, Series 7, Series 9/10 (or Series 24), Series 53, Series 4 and Series 66 or 63/65. Insurance licensing a plus.
* Demonstrated knowledge of securities industry products and rules and regulations.
* Previous supervision of complex products required.
* Experience researching, interpreting and translating investment company prospectus language, annuity and life insurance contracts and illustrations, private placement memoranda, offering circulars, and other product-related contracts, selling and service-level agreements.
* Solid knowledge of the financial services industry/regulations and an understanding of operations, tax, and legal principles which impact the investment industry
* Strong written, oral and interpersonal skills. The position deals with financial professionals, branch office managers, regional directors, and financial institutions.
* Strong Information Technology knowledge and experience. Use of MS Office suite (Word, Excel, Outlook), ability to learn new systems quickly.
* Experience with technical supervisory systems for sales practice reviews. Envestnet Fiduciary Exchange ("FidX"); Protegent Surveillance ("ProSurv"); and experience with Thompson BETA a plus.
* Strong organizational skills and attention-to-detail. Ability to work with a high-degree of accuracy while prioritizing multiple tasks. Excellent problem-solving and follow-up skills are essential for this position
* Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role
* Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
* Ability to proactively work with both external and internal clients. Relate with others in a professional manner in order to accomplish work responsibilities and objectives. Ability to adapt to change and exhibit sound judgment.
* Ability to maintain regular, predictable attendance, and work independently in a fast paced/high volume environment and be flexible with work schedule.
* Follow policies and procedures. Maintain client and Firm confidentiality. Duties:
* Serve as the subject matter expert on the supervision of complex products and act as a key contact for financial professionals, branch office managers, and regional directors.
* Conduct all centralized principal review and approval of annuity and insurance transactions, alternative investments, structured products, and other complex products that may be identified or added to the firm's product offerings.
* Work with the Director of Supervision and Senior Supervisory Officer in their development of comprehensive pattern reviews related to complex products. Provide critical input on technology systems necessary for appropriate supervision of complex product and alternative investment activity including updates to policies and procedures.
* Assist the Director of Supervision and Senior Supervisory Officer with the review and remediation of complex product-level issues identified by Compliance or Internal Audit as part of branch office examinations or internal audits.
* Assist with the development of training related to specific complex products as identified through various supervisory reviews.
* Serve as the back-up supervisory representative on the Product/Exception Assessment Group as related to the introduction of complex products to the firm.
* Stay current on industry and regulatory updates and trends, including participation in industry roundtables and conferences.
* Lead and participate in special projects and initiatives, as needed. We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

Keywords: D.A. Davidson & Co., Seattle , Complex Product Supervisor, Accounting, Auditing , Seattle, Washington

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