Experience and Skills
* Bachelor’s Degree and/or a minimum of 10+ years of related professional experience.
* Strong understanding of the various products and services offered at D.A. Davidson and available generally to a Wealth Management business.
* Seasoned knowledge of security analysis, financial and investment principles, economics, accounting, and conditions affecting the securities market.
* Strong understanding of regulatory requirements for securities products and services specifically in addition to strong understanding of Regulation Best Interest and Department of Labor impartial conduct standards.
* Series 7, 24, 52, 63, 65 and/or 66 required. Series 9, 10 and 4 strongly preferred.
* Proven ability to think strategically and to implement strategic initiatives and see projects and initiatives to completion.
* Excellent communication and presentations skills with the ability to develop and foster strong professional relationships.
* Flexibility to travel to branches in the Davidson footprint, sometimes with short notice.
* Develop and execute the firm’s Product strategy ensuring Financial Professionals have access to quality products and support. This includes working intimately with the Advisory Solutions Group on the firm’s Advisory Product strategy as well as leading efforts on brokerage products.
* Oversee the Advisory Platform business including the development and implementation of both short and longer term department objectives.
* Provide input and support to the Advisory Solutions Group regarding all day to day functions, business development activities and training requirements.
* Coordinate with the Chief Supervisory Officer, Risk Management and other Wealth Management leaders to develop and execute the firm’s Investment Advisory Product strategy and ensuring that the firm is meeting regulatory requirements with respect to the offer and sale of the products.
* Manage firm’s mutual fund product offerings including execution of selling agreements, response to annual questionnaires, and overall management of fund relationship.
* Oversee and drive initiatives, events, training and communications as needed to represent the firm’s product offering in alignment with firm strategy and policies.
* Develop and recommend risk mitigation strategies to ensure continuity and effectiveness of the product line while minimizing risk to clients and the firm.
* Oversee that appropriate controls are in place to understand revenue streams received by the firm related to products sold.
* Supervise and lead all related product area managers.
* Other duties as assigned
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.