Product Manager

Product Manager

This role serves as the Product Manager for the financial planning product, with the primary focus on compliance and risk management. The Product Manager will lead compliance-related testing and audit activities, serve as the subject matter expert, and ensure policies and controls are maintained to support regulatory and business requirements.

Key Responsibilities:

• Maintain, update, and enforce product policies, standards, and documentation.
• Serve as subject matter expert on financial planning and advice policies, answering questions from the field and home office.
• Partner with internal stakeholders to ensure regulatory requirements and internal control expectations are understood and met.
• Execute and/or coordinate business actions required for the department's written supervisory procedures (WSPs) and investment adviser policies and procedures (IAP&Ps).
• Coordinate annual update to the AFPS Client Disclosure Brochure and associated supplements.
• Actively manage relationships with Legal, Compliance and Supervision partners.
• Support ongoing product governance activities, including reviews, approvals, and reporting.
• Identify and recommend changes to policies and procedures.
• Assist in complex analytics and problem solving.
• Support team initiatives and cross-organizational projects.

Required Qualifications:

• Bachelor's degree or equivalent experience
• 5+ years of experience in financial services, compliance, risk management, or related field
• Experience supporting audits, compliance testing, or control activities
• Strong written and verbal communication skills, with the ability to influence and partner across functions

Preferred Qualifications:

• Prior experience serving as a compliance subject matter expert
• Experience working with crossfunctional teams including Legal, Risk, Compliance, and Technology
• Working knowledge of financial planning and associated regulatory requirements
• Series 7 and Series 24

Base Pay Salary: The estimated base salary for this role is $87,400-$120,200/year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.