State Licensed Investment Executive

Job Summary

A company is looking for a Head of Investment Products.

Key Responsibilities

• Set the direction for investment products across business and personal offerings
• Serve as President of the registered investment adviser, ensuring investment strategy and regulatory integrity
• Act as CEO of the introducing broker-dealer, overseeing governance and brokerage operations

Required Qualifications

• 12+ years of experience in investment management or wealth management, with leadership experience at an RIA
• Eligibility to serve as president of a registered investment adviser and principal of a broker-dealer, with a Series 24 license
• Experience in trading operations and best-execution responsibilities within an RIA and broker-dealer
• Strong product mindset with experience in building or scaling investment products in a high-growth environment
• Direct experience with SEC and FINRA regulatory requirements and investment platform operations