Opportunity OverviewThe Senior Team Leader, Complex Product Supervision provides strategic leadership and oversight for the firm's most complex investment products, including alternative investments, structured notes, exchange funds, options and options overlay strategies, digital asset-related products, private market investments, and other emerging investment products. The scope of products supervised by this group may expand as new investment solutions are introduced that utilize derivative or derivative-like strategies, have unique liquidity characteristics, or present elevated client, operational, or regulatory risk.
This role establishes supervisory standards, risk-based controls, governance practices, and compliance frameworks to ensure effective oversight of high-risk products while serving as the primary escalation point for complex supervisory and regulatory matters. The Senior Team Leader partners closely with Product, Legal, Risk, Compliance, Operations, and business leadership to manage supervisory, operational, financial, and reputational risks.
Additionally, this position drives enterprise-wide initiatives, enhances supervisory programs and tools, and represents the firm during regulatory examinations, audits, governance reviews, and other industry engagements.
What You'll Do:• Provide leadership, coaching, performance management, and development for Field Supervision Directors and specialized supervision teams, while building organizational capability through talent development and succession planning.
• Establish strategic direction, performance expectations, and supervisory standards to ensure effective, timely, and risk-based oversight of specialized investment products and activities.
• Serve as the department subject matter expert and primary escalation point for complex supervisory, suitability, regulatory, and risk management matters involving alternative investments, structured products, private markets, options, digital asset-related products, and other specialized offerings.
• Develop, maintain, and enhance supervisory frameworks, governance practices, Written Supervisory Procedures (WSPs), controls, monitoring programs, escalation protocols, guidance, and training to address evolving business and regulatory risks.
• Conduct oversight reviews and provide direction on complex cases involving suitability, concentration and liquidity risk, accreditation requirements, product eligibility, disclosures, and other specialized supervisory concerns.
• Lead risk assessments and participate in product governance, new product approval, and business risk review processes to evaluate supervisory implications, operational readiness, client protection considerations, and control requirements.
• Partner with Legal, Risk, Compliance, Product Management, Operations, and business leaders to identify, assess, and mitigate regulatory, operational, financial, and reputational risks while implementing supervisory enhancements based on regulatory and industry developments.
• Lead enterprise initiatives that strengthen supervisory effectiveness and operational efficiency, influence senior leadership and governance committees through strategic recommendations, and represent the firm in regulatory examinations, audits, legal proceedings, and other external engagements.
Position RequirementsWhat You'll Need:- Extensive experience (6+ 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
*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.*Salary InformationEdward Jones' compensation and benefits package includes 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. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
