A Best-Of-All-Worlds Model

Careers at Steward Partners

Full-Service Independence with
Equity Upside

 

Location: Flexible across Steward Partners network of offices, hybrid and remote options are also available.

Corporate Counsel

The Corporate Counsel will report to the Firm’s Head of Strategic Initiatives and Chief Legal Officer and play a key role in providing legal support and expertise across a variety of corporate and commercial matters, with a primary focus on contract work. The ideal candidate will have 3-5 years of relevant experience and a strong understanding of corporate law and exposure to regulatory compliance.

Corporate Counsel

Flexible across Steward Partners network of offices, hybrid and remote options are also available.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Corporate Counsel will report to the Firm’s Head of Strategic Initiatives and Chief Legal Officer and play a key role in providing legal support and expertise across a variety of corporate and commercial matters, with a primary focus on contract work. The ideal candidate will have 3-5 years of relevant experience and a strong understanding of corporate law and exposure to regulatory compliance.

Duties and Responsibilities:

  • Draft, review, and negotiate a wide range of contracts and agreements, including client agreements, vendor contracts, and service agreements.
  • Provide legal guidance and support to internal stakeholders on corporate governance matters, including entity formation, corporate structuring, and regulatory compliance.
  • Collaborate with cross-functional teams to assess legal risks and develop strategies to mitigate them effectively.
  • Stay abreast of industry developments and regulatory changes affecting the wealth management industry and advise stakeholders accordingly.
  • Assist with due diligence efforts in corporate transactions, including mergers and acquisitions, joint ventures, and strategic partnerships.
  • Conduct legal research and analysis on various corporate and commercial issues as needed.
  • Assist in managing relationships with external legal counsel and other third-party advisers as necessary.

Skills, Experience & Qualifications

  • Juris Doctor from an accredited law school and active membership in good standing with a state Bar association, ideally New York.
  • 3-5 years of experience practicing corporate law, with a focus on contract work and the wealth management industry preferred.
  • Strong understanding of corporate governance principles and contract law, and general understanding of regulatory compliance requirements.
  • Excellent drafting, negotiation, and communication skills.
  • Ability to work independently and collaboratively in a fast-paced environment, with a proactive and solutions-oriented approach.
  • Detail-oriented with strong analytical and problem-solving abilities.
  • Prior experience in a financial services or wealth management firm is a plus.

Location:
Flexible across Steward Partners network of offices, hybrid and remote options are also available.

For additional information or to submit a resume, please contact:
Francesca Welch
Francesca.Welch@StewardPartners.com

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Location: Virginia Beach, VA

Client Administrative Manager

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Status:
Non-Exempt

Location:
Virginia Beach, VA

For additional information or to submit a resume, please contact:
Jamie Saroka
jamie.saroka@stewardpartners.com

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Location: Senior Supervision Analyst

Senior Supervision Analyst

The Senior Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and nonregistered locations throughout the Firm. The Supervision team partners with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Senior Supervision Analyst

Remote

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering wide-ranging client service with an unwavering commitment to excellence.

Position Overview:

The Senior Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and nonregistered locations throughout the Firm. The Supervision team partners with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Responsibilities:

  • Conduct ongoing review of all communications with the public, including incoming/outgoing correspondence, email, social media and text messages.
  • Review securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, options and 529 transactions; analyze transaction activity to identify potential sales practice concerns
  • Address account-level suitability alerts for brokerage and advisory accounts
  • Identify matters that need to be escalated to the Divisional Supervisory Officer
  • Run reports and collect data in response to regulatory inquiries; as directed by the Compliance department
  • Assist Supervision leadership in preparing ongoing data/metrics reporting
  • Maintain books and records and ensure proper documentation and notes are on file
  • Monitor, investigate, and facilitate resolution of client complaints; in conjunction with the Compliance Department
  • Maintain a strong level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place
  • Participate on projects to upgrade/implement new regulatory related systems in addition to special projects as needed
  • Support the evolution and enhancement of supervisory policies, and procedures, and systems in collaboration with input and feedback to Operations and Compliance departments

Skills, Experience & Qualifications

  • 1-3 years’ experience in the financial services industry
  • Bachelor’s degree or equivalent work experience
  • Series 7 and 24 (or 9/10)
  • Series 65 or 66 (or ability to obtain within 6 months)
  • Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, banking products and capital markets
  • Strong ability to execute on assigned tasks/responsibilities
  • Ability to work in a fast-paced environment
  • Strong written and verbal communications skills
  • Independent self-starter who can manage multiple activities to defined deadlines in a team setting
  • Analytical, critical thinking, and organizational skills with ability to exercise good judgment
  • Proficient with Microsoft Excel, PowerPoint, and Word, Project and SharePoint

Location:
Remote

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Read More

Location: Remote

Supervision Analyst

The Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and non-registered locations throughout the Firm. The Supervision team partners with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering wide-ranging client service with an unwavering commitment to excellence.

Position Overview:

The Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and nonregistered locations throughout the Firm. The Supervision team partners with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Responsibilities:

  • Conduct ongoing review of all communications with the public, including incoming/outgoing correspondence, email, social media and text messages.
  • Identify matters that need to be escalated to the Divisional Supervisory Officer
  • Run reports and collect data in response to regulatory inquiries; as directed by the Compliance department
  • Assist Supervision leadership in preparing ongoing data/metrics reporting
  • Maintain books and records and ensure proper documentation and notes are on file
  • Maintain a strong level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place
  • Participate on projects to upgrade/implement new regulatory related systems in addition to special projects as needed
  • Support the evolution and enhancement of supervisory policies, and procedures, and systems in collaboration with input and feedback to Operations and Compliance departments

Skills, Experience & Qualifications

  • Bachelor’s degree or equivalent work experience
  • Successful completion of the Securities Industry Essentials (SIE) exam or ability to obtain within 3 months.
  • Strong ability to execute on assigned tasks/responsibilities
  • Ability to work in a fast-paced environment
  • Strong written and verbal communications skills
  • Independent self-starter who can manage multiple activities to defined deadlines in a team setting
  • Analytical, critical thinking, and organizational skills with ability to exercise good judgment
  • Proficient with Microsoft Excel, PowerPoint, and Word, Project and SharePoint

Location:
Remote

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Read More

Location: McLean, VA

Client Administrative Manager

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors.  The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

POSITION OVERVIEW:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors.  The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Duties And Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
McLean, VA

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Read More

Location: Remote

Manager of Licensing & Registrations

The Manager of Licensing & Registrations leads the implementation and ongoing maintenance of the Firm’s Licensing & Registrations (“L&R”) database. Working cross-functionally, this role acts as a resource and subject matter expert on issues related to L&R and supports the team responsible for the Firm’s Licensing and Registration activities. 

The L&R team monitor and ensure compliance with rules regarding FINRA Registrations, Investment Adviser Representative registrations, including Forms U-4, U-5, NRF, and BR. L&R also plays a key role in the pre-hire process and supports the Firm’s ability to onboard Financial Advisors and other partners. This involves requesting and reviewing background information, reports, etc.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Manager of Licensing & Registrations leads the implementation and ongoing maintenance of the Firm’s Licensing & Registrations (“L&R”) database. Working cross-functionally, this role acts as a resource and subject matter expert on issues related to L&R and supports the team responsible for the Firm’s Licensing and Registration activities. 

The L&R team monitor and ensure compliance with rules regarding FINRA Registrations, Investment Adviser Representative registrations, including Forms U-4, U-5, NRF, and BR. L&R also plays a key role in the pre-hire process and supports the Firm’s ability to onboard Financial Advisors and other partners. This involves requesting and reviewing background information, reports, etc.

Duties and Responsibilities:

  • Lead the development and implementation of the Firm’s L&R database to support and administer risk management, policies, processes, and technology systems to ensure that the organization operates within identified risk parameters via the organization’s strategic risk appetite
  • Collaborate with internal partners to enhance processes that involve L&R such as development of workflows to fulfill multiple needs from L&R database.
  • Support day-to-day L&R functions
  • Partner with the Head of L&R to maintain effective internal communications to support the field.
  • Conduct and present data analytics and metrics on a regular basis or as requested
  • Provide L&R support and guidance on projects and initiatives, as necessary
  • Understand the Firm’s business models, particularly changes in existing or new business to assess any implications to registration and onboarding requirements
  • Utilize internal and external (e.g., WebCRD) reports to identify and mitigate risk
  • Work in collaboration with the Head of L&R in the handling of regulatory inquiries and requests concerning registered personnel, partnering with Risk & Compliance as necessary
  • Stay apprised of new and changing regulatory requirements to determine impact to the Firm and recommend changes to the Head of L&R, as needed
  • Perform additional projects and tasks as assigned

Skills, Experience & Qualifications:

  • 5 years professional experience in a broker-dealer business: Licensing and Registrations, Supervisory or Risk and Compliance role
  • Strong working knowledge of the rules, regulations, and policies applicable to L&R and ability to distill practical applications of such rules, regulations and policies
  • Experience applying business expertise and knowledge to the deployment of L&R systems and processes
  • Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners
  • Experience with regulatory systems and analyzing data (e.g., WebCRD, IARD, etc.)
  • Excellent use of technology as a tool to implement policies and create efficiencies
  • Strong time management and communication skills (verbal and written)
  • Experience drafting/implementing policies and procedures, supervisory processes
  • Highly detail oriented with the ability to juggle multiple tasks with varying degrees of urgency
  • Ability to work under pressure, prioritize team success and meet deadlines
  • Flexible and adaptable to changing processes and working environment
  • Proficiency with Microsoft Word, Excel, and PowerPoint
  • FINRA Series 7 and 24 required

Location:
Remote

Reports to:
Head of Licensing & Registrations

For additional information or to submit a resume, please contact:
Jennifer Daley
jamie.saroka@stewardpartners.com

Read More

Location: Clearwater, FL

Registered Client Administrative Manager

Working as part of a team, the Registered Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The Registered CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

 

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Registered Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The Registered CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Duties and Responsibilities:

  • Input orders at the direction of the Financial Advisor(s)
  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications:

  • Active FINRA Series 7 and 66 (or 63 and 65) Licenses
  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Clearwater, FL

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Read More

Location: Hybrid: Florham Park, NJ

Director of Data Management

The Director of Data Management will be responsible for overseeing the management, organization, and governance of data within an organization. This position will play a critical role in ensuring the accuracy, integrity, security, and accessibility of data assets, and will collaborate with various teams to support data-driven decision-making and operational efficiency.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Director of Data Management will be responsible for overseeing the management, organization, and governance of data within an organization. This position will play a critical role in ensuring the accuracy, integrity, security, and accessibility of data assets, and will collaborate with various teams to support data-driven decision-making and operational efficiency.

Duties and Responsibilities:

  • Data Strategy and Planning:
    • Develop and implement a comprehensive data management strategy aligned with the organization's goals.
    • Collaborate with key stakeholders to understand data requirements and define data-related policies and procedures.
  • Database Administration:
    • Oversee the design, implementation, and maintenance of databases.
    • Ensure the security, integrity, and performance of databases meet organizational standards.
    • Troubleshoot and resolve database issues in a timely manner.
  • Data Warehousing:
    • Lead the design and implementation of an effective data warehousing solution.
    • Ensure the efficient storage, retrieval, and analysis of large volumes of data.
    • Collaborate with business intelligence and analytics teams to support reporting needs.
  • Data Quality and Governance:
    • Establish and enforce data quality standards.
    • Implement data governance policies to ensure compliance with regulatory requirements.
    • Conduct regular audits to assess and improve data quality.
  • Data Integration and Migration:
    • Lead data integration projects, ensuring seamless data flow between systems.
    • Manage data migration initiatives, ensuring accurate and timely data transfers.
  • Business Analytics:
    • Collaborate with business intelligence teams to develop and implement analytics solutions.
    • Leverage data for strategic decision-making and business insights.
    • Ensure data is accessible and usable for analytics purposes.
  • Team Leadership:
    • Build and lead a high-performing data management team.
    • Provide mentorship and guidance to team members.
    • Foster a collaborative and innovative work environment.
  • Technology Evaluation and Implementation:
    • Stay abreast of emerging technologies in data management and analytics.
    • Evaluate and recommend new tools and technologies to enhance data management capabilities.
    • and interpersonal skills.

Skills, Experience & Qualifications:

  • Bachelor's degree in a relevant field (e.g., Computer Science, Information Management, Data Science).
  • 10+ years proven experience in data management, data governance, or a related role.
  • Strong understanding of data management principles, including data quality, data governance, and data integration.
  • Familiarity with technical data domains, such as engineering data, scientific data, or technical specifications.
  • Proficiency in database management systems (e.g., SQL, NoSQL, Data Warehouse and Data Lakes) and data integration tools.

Reports To:
Head of Data

Location:
Hybrid – Florham Park, NJ

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Read More

Location: Keene, NH

Client Administrative Manager

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors.  The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed. 

Duties and Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Keene, NH

Status:
Non-exempt

For additional information or to submit a resume, please contact:
Jamie Saroka
jamie.saroka@stewardpartners.com

Read More

Client Administrative Manager

Location: McLean, VA

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors.  The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.  

Duties And Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

SKILLS, EXPERIENCE & QUALIFICATIONS

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
McLean, VA

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Supervision Analyst

Location: Remote

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering wide-ranging client service with an unwavering commitment to excellence.

Position Overview:

The Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and nonregistered locations throughout the Firm. The Supervision team partners with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Responsibilities:

  • Conduct ongoing review of all communications with the public, including incoming/outgoing correspondence, email, social media and text messages.
  • Identify matters that need to be escalated to the Divisional Supervisory Officer
  • Run reports and collect data in response to regulatory inquiries; as directed by the Compliance department
  • Assist Supervision leadership in preparing ongoing data/metrics reporting
  • Maintain books and records and ensure proper documentation and notes are on file
  • Maintain a strong level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place
  • Participate on projects to upgrade/implement new regulatory related systems in addition to special projects as needed
  • Support the evolution and enhancement of supervisory policies, and procedures, and systems in collaboration with input and feedback to Operations and Compliance departments

Skills, Experience & Qualifications

  • Bachelor’s degree or equivalent work experience
  • Successful completion of the Securities Industry Essentials (SIE) exam or ability to obtain within 3 months.
  • Strong ability to execute on assigned tasks/responsibilities
  • Ability to work in a fast-paced environment
  • Strong written and verbal communications skills
  • Independent self-starter who can manage multiple activities to defined deadlines in a team setting
  • Analytical, critical thinking, and organizational skills with ability to exercise good judgment
  • Proficient with Microsoft Excel, PowerPoint, and Word, Project and SharePoint

Location:
Remote

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Manager Data Management

Location: Florham Park, NJ

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Data Management Manager will be responsible for overseeing the management, organization, and governance of data within an organization. This position will play a critical role in ensuring the accuracy, integrity, security, and accessibility of data assets, and will collaborate with various teams to support data-driven decision-making and operational efficiency.

Duties and Responsibilities:

  • Data Management Strategy and Governance:
    • Develop and implement data management strategies, policies, and procedures to ensure consistent and efficient handling of technical data.
    • Establish data governance frameworks, including data standards, data quality measures, and data lifecycle management.
    • Define data stewardship roles and responsibilities and foster a culture of data ownership and accountability.
  • Data Acquisition and Integration:
    • Collaborate with data providers, subject matter experts, and IT teams to identify, acquire, and integrate data from various internal and external sources.
    • Ensure data compatibility, consistency, and accuracy through data validation and data cleansing activities.
    • Work closely with data engineers to design and implement efficient data pipelines and workflows for data acquisition and ingestion.
  • Data Quality Assurance:
    • Establish data quality standards and implement data quality checks and controls to maintain the integrity and reliability of technical data.
    • Develop and execute data quality improvement initiatives, including data profiling, anomaly detection, and root cause analysis.
    • Monitor data quality metrics and provide regular reports to stakeholders, highlighting areas for improvement and remediation.
  • Data Storage and Infrastructure:
    • Collaborate with IT teams to design and maintain scalable and secure data storage infrastructure, including databases, data warehouses, and data lakes.
    • Ensure appropriate data backup, retention, and disaster recovery mechanisms are in place.
    • Optimize data storage and retrieval processes to meet performance requirements and facilitate data accessibility.
  • Data Security and Privacy:
    • Implement data security measures to protect technical data assets from unauthorized access, data breaches, and cyber threats.
    • Ensure compliance with data privacy regulations and industry best practices for handling sensitive and personally identifiable information.
    • Collaborate with legal and compliance teams to define data usage policies and manage data access controls.
  • Data Documentation and Metadata Management:
    • Establish and maintain a comprehensive data dictionary and metadata repository for technical data assets.
    • Document data lineage, data transformations, and data dependencies to facilitate data understanding and traceability.
    • Promote metadata management practices and tools to enhance data discoverability and usability.
  • Data Collaboration and Support:
    • Collaborate with cross-functional teams, including data analysts, data scientists, and business stakeholders, to understand data requirements and support their data-related initiatives.
    • Provide technical guidance and support to teams working with technical data, including data modeling, data analysis, and data visualization.
    • Facilitate data sharing and collaboration by establishing data sharing platforms and promoting data-driven culture and knowledge sharing.
  • Continuous Improvement and Innovation:
    • Stay updated with the latest trends, technologies, and best practices in data management and data governance.
    • Identify opportunities for process improvements, automation, and innovation to enhance data management capabilities and operational efficiency.
    • Actively participate in data management communities and professional networks to exchange knowledge and stay informed about industry developments.

Skills, Experience & Qualifications:

  • Bachelor's degree in a relevant field (e.g., Computer Science, Information Management, Data Science).
  • Proven experience in data management, data governance, or a related role.
  • Strong understanding of data management principles, including data quality, data governance, and data integration.
  • Familiarity with technical data domains, such as engineering data, scientific data, or technical specifications.
  • Proficiency in database management systems (e.g., SQL, NoSQL) and data integration tools.

Reports To:
Head of Data

Location:
Hybrid – Florham Park, NJ

For additional information or to submit a resume, please contact:
Jamie Saroka
jennifer.daley@stewardpartners.com

Manager of Licensing & Registrations

Location: Remote

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Manager of Licensing & Registrations leads the implementation and ongoing maintenance of the Firm’s Licensing & Registrations (“L&R”) database. Working cross-functionally, this role acts as a resource and subject matter expert on issues related to L&R and supports the team responsible for the Firm’s Licensing and Registration activities. 

The L&R team monitor and ensure compliance with rules regarding FINRA Registrations, Investment Adviser Representative registrations, including Forms U-4, U-5, NRF, and BR. L&R also plays a key role in the pre-hire process and supports the Firm’s ability to onboard Financial Advisors and other partners. This involves requesting and reviewing background information, reports, etc.

Duties and Responsibilities:

  • Lead the development and implementation of the Firm’s L&R database to support and administer risk management, policies, processes, and technology systems to ensure that the organization operates within identified risk parameters via the organization’s strategic risk appetite
  • Collaborate with internal partners to enhance processes that involve L&R such as development of workflows to fulfill multiple needs from L&R database.
  • Support day-to-day L&R functions
  • Partner with the Head of L&R to maintain effective internal communications to support the field.
  • Conduct and present data analytics and metrics on a regular basis or as requested
  • Provide L&R support and guidance on projects and initiatives, as necessary
  • Understand the Firm’s business models, particularly changes in existing or new business to assess any implications to registration and onboarding requirements
  • Utilize internal and external (e.g., WebCRD) reports to identify and mitigate risk
  • Work in collaboration with the Head of L&R in the handling of regulatory inquiries and requests concerning registered personnel, partnering with Risk & Compliance as necessary
  • Stay apprised of new and changing regulatory requirements to determine impact to the Firm and recommend changes to the Head of L&R, as needed
  • Perform additional projects and tasks as assigned

Skills, Experience & Qualifications:

  • 5 years professional experience in a broker-dealer business: Licensing and Registrations, Supervisory or Risk and Compliance role
  • Strong working knowledge of the rules, regulations, and policies applicable to L&R and ability to distill practical applications of such rules, regulations and policies
  • Experience applying business expertise and knowledge to the deployment of L&R systems and processes
  • Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners
  • Experience with regulatory systems and analyzing data (e.g., WebCRD, IARD, etc.)
  • Excellent use of technology as a tool to implement policies and create efficiencies
  • Strong time management and communication skills (verbal and written)
  • Experience drafting/implementing policies and procedures, supervisory processes
  • Highly detail oriented with the ability to juggle multiple tasks with varying degrees of urgency
  • Ability to work under pressure, prioritize team success and meet deadlines
  • Flexible and adaptable to changing processes and working environment
  • Proficiency with Microsoft Word, Excel, and PowerPoint
  • FINRA Series 7 and 24 required

Location:
Remote

Reports to:
Head of Licensing & Registrations

For additional information or to submit a resume, please contact:
Jamie Saroka
jamie.saroka@stewardpartners.com

Registered Client Administrative Manager

Location: Clearwater, FL

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Registered Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The Registered CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Duties and Responsibilities:

  • Input orders at the direction of the Financial Advisor(s)
  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications:

  • Active FINRA Series 7 and 66 (or 63 and 65) Licenses
  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Clearwater, FL

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Director of Data Management

Hybrid: Florham Park, NJ

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Director of Data Management will be responsible for overseeing the management, organization, and governance of data within an organization. This position will play a critical role in ensuring the accuracy, integrity, security, and accessibility of data assets, and will collaborate with various teams to support data-driven decision-making and operational efficiency.

Duties and Responsibilities:

  • Data Strategy and Planning:
    • Develop and implement a comprehensive data management strategy aligned with the organization's goals.
    • Collaborate with key stakeholders to understand data requirements and define data-related policies and procedures.
  • Database Administration:
    • Oversee the design, implementation, and maintenance of databases.
    • Ensure the security, integrity, and performance of databases meet organizational standards.
    • Troubleshoot and resolve database issues in a timely manner.
  • Data Warehousing:
    • Lead the design and implementation of an effective data warehousing solution.
    • Ensure the efficient storage, retrieval, and analysis of large volumes of data.
    • Collaborate with business intelligence and analytics teams to support reporting needs.
  • Data Quality and Governance:
    • Establish and enforce data quality standards.
    • Implement data governance policies to ensure compliance with regulatory requirements.
    • Conduct regular audits to assess and improve data quality.
  • Data Integration and Migration:
    • Lead data integration projects, ensuring seamless data flow between systems.
    • Manage data migration initiatives, ensuring accurate and timely data transfers.
  • Business Analytics:
    • Collaborate with business intelligence teams to develop and implement analytics solutions.
    • Leverage data for strategic decision-making and business insights.
    • Ensure data is accessible and usable for analytics purposes.
  • Team Leadership:
    • Build and lead a high-performing data management team.
    • Provide mentorship and guidance to team members.
    • Foster a collaborative and innovative work environment.
  • Technology Evaluation and Implementation:
    • Stay abreast of emerging technologies in data management and analytics.
    • Evaluate and recommend new tools and technologies to enhance data management capabilities.
    • and interpersonal skills.

Skills, Experience & Qualifications:

  • Bachelor's degree in a relevant field (e.g., Computer Science, Information Management, Data Science).
  • 10+ years proven experience in data management, data governance, or a related role.
  • Strong understanding of data management principles, including data quality, data governance, and data integration.
  • Familiarity with technical data domains, such as engineering data, scientific data, or technical specifications.
  • Proficiency in database management systems (e.g., SQL, NoSQL, Data Warehouse and Data Lakes) and data integration tools.

Reports To:
Head of Data

Location:
Hybrid – Florham Park, NJ

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com

Client Administrative Manager

Location: Keene, NH

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors.  The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed. 

Duties and Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Keene, NH

Status:
Non-exempt

For additional information or to submit a resume, please contact:
Jamie Saroka
jamie.saroka@stewardpartners.com

Client Administrative Manager

Virginia Beach, VA

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Virginia Beach, VA

Status:
Non-Exempt

For additional information or to submit a resume, please contact:
Jamie Saroka
jamie.saroka@stewardpartners.com

Corporate Counsel

Flexible across Steward Partners network of offices, hybrid and remote options are also available.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our client’s and their families.

Steward Partners caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Corporate Counsel will report to the Firm’s Head of Strategic Initiatives and Chief Legal Officer and play a key role in providing legal support and expertise across a variety of corporate and commercial matters, with a primary focus on contract work. The ideal candidate will have 3-5 years of relevant experience and a strong understanding of corporate law and exposure to regulatory compliance.

Duties and Responsibilities:

  • Draft, review, and negotiate a wide range of contracts and agreements, including client agreements, vendor contracts, and service agreements.
  • Provide legal guidance and support to internal stakeholders on corporate governance matters, including entity formation, corporate structuring, and regulatory compliance.
  • Collaborate with cross-functional teams to assess legal risks and develop strategies to mitigate them effectively.
  • Stay abreast of industry developments and regulatory changes affecting the wealth management industry and advise stakeholders accordingly.
  • Assist with due diligence efforts in corporate transactions, including mergers and acquisitions, joint ventures, and strategic partnerships.
  • Conduct legal research and analysis on various corporate and commercial issues as needed.
  • Assist in managing relationships with external legal counsel and other third-party advisers as necessary.

Skills, Experience & Qualifications

  • Juris Doctor from an accredited law school and active membership in good standing with a state Bar association, ideally New York.
  • 3-5 years of experience practicing corporate law, with a focus on contract work and the wealth management industry preferred.
  • Strong understanding of corporate governance principles and contract law, and general understanding of regulatory compliance requirements.
  • Excellent drafting, negotiation, and communication skills.
  • Ability to work independently and collaboratively in a fast-paced environment, with a proactive and solutions-oriented approach.
  • Detail-oriented with strong analytical and problem-solving abilities.
  • Prior experience in a financial services or wealth management firm is a plus.

Location:
Flexible across Steward Partners network of offices, hybrid and remote options are also available.

For additional information or to submit a resume, please contact:
Francesca Welch
Francesca.Welch@StewardPartners.com

Senior Supervision Analyst

Remote

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering wide-ranging client service with an unwavering commitment to excellence.

Position Overview:

The Senior Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and nonregistered locations throughout the Firm. The Supervision team partners with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Responsibilities:

  • Conduct ongoing review of all communications with the public, including incoming/outgoing correspondence, email, social media and text messages.
  • Review securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, options and 529 transactions; analyze transaction activity to identify potential sales practice concerns
  • Address account-level suitability alerts for brokerage and advisory accounts
  • Identify matters that need to be escalated to the Divisional Supervisory Officer
  • Run reports and collect data in response to regulatory inquiries; as directed by the Compliance department
  • Assist Supervision leadership in preparing ongoing data/metrics reporting
  • Maintain books and records and ensure proper documentation and notes are on file
  • Monitor, investigate, and facilitate resolution of client complaints; in conjunction with the Compliance Department
  • Maintain a strong level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place
  • Participate on projects to upgrade/implement new regulatory related systems in addition to special projects as needed
  • Support the evolution and enhancement of supervisory policies, and procedures, and systems in collaboration with input and feedback to Operations and Compliance departments

Skills, Experience & Qualifications

  • 1-3 years’ experience in the financial services industry
  • Bachelor’s degree or equivalent work experience
  • Series 7 and 24 (or 9/10)
  • Series 65 or 66 (or ability to obtain within 6 months)
  • Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, banking products and capital markets
  • Strong ability to execute on assigned tasks/responsibilities
  • Ability to work in a fast-paced environment
  • Strong written and verbal communications skills
  • Independent self-starter who can manage multiple activities to defined deadlines in a team setting
  • Analytical, critical thinking, and organizational skills with ability to exercise good judgment
  • Proficient with Microsoft Excel, PowerPoint, and Word, Project and SharePoint

Location:
Remote

For additional information or to submit a resume, please contact:
Jennifer Daley
jennifer.daley@stewardpartners.com