NYC Staffing
Head Of Investment Products
The Head Of Investment Products leads the strategy, development, and management of Wealth & Investment Management's (WIM) investment product offerings including advisory, alternatives, insurance, annuities, packaged products, and retirement and institutional consulting. This leader is responsible for aligning product innovation with client needs, regulatory requirements, and market trends. Key responsibilities include: Product Strategy & Development: Define and execute the investment product roadmap aligned with WIM strategy. Lead the design and launch of new investment products (e.g., mutual funds, ETFs, SMAs, alternative investments). Enhance existing programs to ensure WIM delivers a best-in-class offering and experience (e.g., ongoing enhancements to the unified managed account program). Conduct market research and competitive analysis to identify product opportunities. Product Management: Oversee the lifecycle of all investment products, ensuring applicability, regulatory compliance, and relevance. Collaborate with partners across WIM to ensure product integrity and positioning. Monitor product profitability and recommend enhancements or rationalization. Distribution & Sales Enablement: Partner with distribution and advisor channels to support product education and adoption. Develop product positioning, sales materials, and training content. Serve as a subject matter expert for internal and external stakeholders. Regulatory & Risk Oversight: Ensure all products comply with FINRA, SEC, OCC, and other regulatory body requirements. Work closely with Legal, Compliance, and Risk to manage client contracts, disclosures, and other communications as well as regulatory filings. Maintain a robust control environment assuring an understanding of risk and mitigates. Leadership & Team Management: Build and lead a high-performing investment product team. Foster a culture of inclusion, innovation, accountability, and client-centricity. Required qualifications include: 8+ years of experience in Investment Product Management, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education. 4+ years of management experience. Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 24 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration. Desired qualifications include: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 65 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration. Exceptional verbal, written, and interpersonal communication skills. Proven ability to collaborate effectively and cultivate strategic partnerships. Extensive leadership experience with demonstrated success in managing and motivating teams. Skilled in developing and executing strategies that align with business objectives and enhance client satisfaction. Consistent record of driving revenue growth and achieving targeted business outcomes. Expertise in building, rewarding, and retaining high-performing teams. Direct regulatory experience encompassing OCC, Federal Reserve, FINRA, and/or SEC compliance. Comprehensive investment background with experience in product management, investment consulting, and investment research. In-depth understanding of global markets and a wide range of market instruments. Strong interpersonal acumen with the capacity to inspire and influence colleagues. Ability to operate effectively within a complex, matrixed organizational structure. Demonstrated aptitude for leading teams through periods of change. Knowledge of operational workflows with a strong commitment to risk management and governance processes. Job expectations include: Registration for FINRA Series 65 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location. This position is not eligible for Visa sponsorship. Pay Range: $250,000.00 - $420,000.00 Benefits: Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below: Health benefits 401(k) Plan Paid time off Disability benefits Life insurance, critical illness insurance, and accident insurance Parental leave Critical caregiving leave Discounts and savings Commuter benefits Tuition reimbursement Scholarships for dependent children Adoption reimbursement We Value Equal Opportunity: Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
The Head Of Investment Products leads the strategy, development, and management of Wealth & Investment Management's (WIM) investment product offerings including advisory, alternatives, insurance, annuities, packaged products, and retirement and institutional consulting. This leader is responsible for aligning product innovation with client needs, regulatory requirements, and market trends. Key responsibilities include: Product Strategy & Development: Define and execute the investment product roadmap aligned with WIM strategy. Lead the design and launch of new investment products (e.g., mutual funds, ETFs, SMAs, alternative investments). Enhance existing programs to ensure WIM delivers a best-in-class offering and experience (e.g., ongoing enhancements to the unified managed account program). Conduct market research and competitive analysis to identify product opportunities. Product Management: Oversee the lifecycle of all investment products, ensuring applicability, regulatory compliance, and relevance. Collaborate with partners across WIM to ensure product integrity and positioning. Monitor product profitability and recommend enhancements or rationalization. Distribution & Sales Enablement: Partner with distribution and advisor channels to support product education and adoption. Develop product positioning, sales materials, and training content. Serve as a subject matter expert for internal and external stakeholders. Regulatory & Risk Oversight: Ensure all products comply with FINRA, SEC, OCC, and other regulatory body requirements. Work closely with Legal, Compliance, and Risk to manage client contracts, disclosures, and other communications as well as regulatory filings. Maintain a robust control environment assuring an understanding of risk and mitigates. Leadership & Team Management: Build and lead a high-performing investment product team. Foster a culture of inclusion, innovation, accountability, and client-centricity. Required qualifications include: 8+ years of experience in Investment Product Management, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education. 4+ years of management experience. Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 24 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration. Desired qualifications include: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 65 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration. Exceptional verbal, written, and interpersonal communication skills. Proven ability to collaborate effectively and cultivate strategic partnerships. Extensive leadership experience with demonstrated success in managing and motivating teams. Skilled in developing and executing strategies that align with business objectives and enhance client satisfaction. Consistent record of driving revenue growth and achieving targeted business outcomes. Expertise in building, rewarding, and retaining high-performing teams. Direct regulatory experience encompassing OCC, Federal Reserve, FINRA, and/or SEC compliance. Comprehensive investment background with experience in product management, investment consulting, and investment research. In-depth understanding of global markets and a wide range of market instruments. Strong interpersonal acumen with the capacity to inspire and influence colleagues. Ability to operate effectively within a complex, matrixed organizational structure. Demonstrated aptitude for leading teams through periods of change. Knowledge of operational workflows with a strong commitment to risk management and governance processes. Job expectations include: Registration for FINRA Series 65 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location. This position is not eligible for Visa sponsorship. Pay Range: $250,000.00 - $420,000.00 Benefits: Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below: Health benefits 401(k) Plan Paid time off Disability benefits Life insurance, critical illness insurance, and accident insurance Parental leave Critical caregiving leave Discounts and savings Commuter benefits Tuition reimbursement Scholarships for dependent children Adoption reimbursement We Value Equal Opportunity: Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.