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...