FINANCIAL ANALYST

 

 

FINANCIAL ANALYST

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:

Reporting to the Chief Financial Officer, the Financial Analyst position is primarily responsible for financial accounting and reporting across the firm.

The Financial Analyst will support all aspects of monthly, quarterly and annual financial reporting and will be responsible for the month-end close, journal entries, and preparation of the financial statements. In addition, the Financial Analyst will prepare the monthly balance sheet and income statement analysis schedules and maintain certain account reconciliations.

Duties and Responsibilities:

Finance

  • Prepare financial reports for relevant filings
  • Build, update, and maintain forecast models 
  • Prepare monthly financial statements and corresponding analysis
  • Prepare monthly journal entries, as required, and ensure documentation of accounting records
  • Prepare corresponding accrual journal entries with consolidation activities
  • Assist in the preparation of monthly management analytics and reports
  • Liaise with outsourced controller and Raymond James Accounting teams
  • Reconcile source systems to reporting systems; at times needing to isolate variances, research, and correct data 
  • Assist with preparation reporting the board of directors.
  • Conduct non-routine financial analysis/reporting projects
  • Understanding various data flows into reporting systems, while looking to enhance current processes through automation/changing sourcing
  • Create documentation for internal controls
  • Partner closely with the Finance & Compensation Analyst to ensure smooth flow of information including the monthly compensation and expense tracking related to Advisor chargebacks
  • Assist with onboarding and maintaining new finance information systems 
  • Project work as required on new products, systems and functionality enhancements

Skills, Experience & Qualifications:

  • Degree in Finance, Accounting, Economics or other technical discipline strongly preferred
  • 2+ years of relevant experience in a finance or accounting role
  • CPA preferred
  • Strong Microsoft skills essential, including advanced Excel and experience with Access
  • Highly analytical, detailed oriented, and have solid conceptual thinking and problem solving skills
  • Thrive in a fast-paced environment with ambiguous situations that require you to multi-task competing priorities efficiently
  • Excellent verbal and written communications skills with ability to convey complex ideas clearly & concisely
  • Insist on high standards for financial accuracy
  • Ability to work with minimal supervision while preserving strict confidentiality of all information
  • Strong customer service and interpersonal skills; ability to communicate with all levels of the organization 
  • Interest in learning new systems and technologies 
  • Approaches work with mindset to continuously improve and streamline processes 

Location:
Flexible with Tri-State area

 
Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY10017. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

OPERATIONS MANAGER (NEW ENGLAND)

 

 

OPERATIONS MANAGER (NEW ENGLAND)

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:

The Operations Manager is primarily responsible for the overall operational and business functions within assigned branches. The Operations Manager works closely with the Divisional President and Head of Operations to supervise all operational, assigned risk/compliance functions, service and transition duties for the covered branches which also includes the management of all sales support personnel within those locations.

Duties and Responsibilities:

Operational Management, Risk/Compliance:

  • Perform daily supervisory tasks such as reviewing trade blotter, approving deposits and correspondence, review sign off requests for marketing review, money movement approvals, compliant processing, trade corrections and other operational functions
  • Review, escalation and completion of assigned tasks in Supervisory Workstation and QBRA in partnership with Divisional President and Risk partners
  • Timely escalation of complex risk/compliance items to Divisional President for action and resolution
  • Respond to compliance and/or operational inquiries from back office, ensure overnight mailings and regular mailings are sent, process ACAT fee reimbursements and work with branch personnel on escalations as needed
  • Preparation and participation in branch audits, responding to and remediating any audit findings
  • Facilitate and oversee escalation and resolution of operational issues across the Division
  • Take direction from the Operation and Risk leads on policy or process updates that need to be implemented within branches

Transition Management:

  • Play a key role in the preparation for onboarding new Advisors and their team and be point of contact at the branch for all transition activity
  • In partnership with Raymond James and the Divisional President, facilitate client discovery “spreadsheet” calls with prospective advisors and ensure accurate documentation in compliance with protocol requirements
  • Anticipate and appropriately plan for resource needs and support during the transition period
  • Ensure new Advisors and their teams have the appropriate set up on arrival, including but not limited to, building access, technology and telephones, providing onboarding resources, information and points of reference, ensuring appropriate personnel are available onsite as needed, coordinate mailings and office resources
  • • Supervise Transition Management resources, providing direction, oversight and leadership
  • Provide continued oversight and support newly recruited teams including ensuring all new employee accounts have been opened and papered, any outstanding items completed, ensure cleanup after the onboarding has been completed

Build & Maintain Relationships

  • Maintain regular branch visitation schedule across assigned branches to ensure visibility, connectivity and promote Firm culture
  • Visit Raymond James at least annually to build and maintain relationships with Home Office to ensure SPGA is well positioned to receive the appropriate information, support and resources to further SPGAs business objectives
  • Build effective teams by constantly communicating relevant information on a timely basis and conducting regular meetings, facilitate collaboration of CAMs and encouraging idea sharing and partnership

Human Resources:

  • Responsible for supervision of CAMs including maintaining/approving approve PTO requests and records to ensure proper coverage
  • Conducting career conversations and support employee development by providing regular feedback and guidance, performance reviews and performance improvement plans
  • Coach, train and develop employees ensuring they have access to suitable resources, programs and technology
  • Responsible for training newly hired personnel on all Firm systems and procedures promoting risk awareness and a compliant environment
  • Partner with Divisional President and Human Resources on any employee related issues requiring escalation

Branch Oversight/Management:

  • Manage office infrastructure such as ordering and maintaining supplies, building management, technology escalations
  • Point of contact for Advisors to provide operational guidance, support and resources, escalating to the Divisional President or other party as appropriate
  • Oversee various projects throughout the Division such as real estate
  • Develop and maintain relationships with key partners including SPGA management and Raymond James home office
  • Other ad hoc duties or projects that may be assigned by the SPGA Management team

Education, experience, knowledge, and skills:

  • Bachelor’s degree required or equivalent education or experience
  • Active series 7, 9/10 or equivalent, and 63, 65 or 66, Life & Health Insurance license is a plus
  • Other licenses as required for the role or by management
  • Financial Services experience, preferably in Wealth Management and related products
  • Operations management experience, particularly around risk/control disciplines
  • Demonstrated ability to lead a team and previous supervisory experience
  • Effective written and verbal skills
  • An excellent communicator with conflict resolution skills
  • Highly organized with exceptional judgement to resolve issues and escalate as appropriate
  • Ability to be a strong partner working with stakeholders and internal clients to build rapport and trust
  • Innovative and always looking for ways technology and process improvements can make your team more efficient and effective
  • Ability to effectively prioritize, delegate and train to enable and empower a team

Location:
New England

For additional information or to submit a resume, please contact:
Kirstie Eustace, Head of Human Resources
kirstie.eustace@stewardpartners.com

 
Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY10017. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.