A Best-Of-All-Worlds Model

Surveillance 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 comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Surveillance Analyst will work as part of the Surveillance and Monitoring unit, conducting risk-based reviews focused on identifying potential sales practice exceptions, as well as performing the assigned functions as outlined below. This position is part of our compliance department and supports all general compliance functions as required by FINRA, SEC, and state securities regulations for both broker/dealers and investment advisers. The position also entails an extensive amount of interaction with various representatives, clients, legal counsel, investment companies and insurance companies along with many departments within the Firm.

Duties and Responsibilities:

• General trade surveillance reviews, focusing on potential sales practice exceptions, including but not limited to analyzing transaction data to identify potential switching, churning, breakpoint selling, reverse churning, and other patterns or concerns.
• Performing ongoing monitoring of sales practice and supervision, operations, trading, cashiering functions, etc. 
• Properly documenting the review and disposition of sales practice exceptions as well as escalating matters appropriately
• Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies.
• Supporting the compliance and risk division in evaluating surveillance results for potential problems, communicating surveillance findings to management clearly and concisely, and interacting with legal and other risk/compliance personnel on actions and solutions
• Responding to inquiries or requests from internal partners
• Drafting, sending, and tracking communications to representatives and clients as needed to request necessary disclosure or acknowledgment documents consistent with the firm’s written procedures
• Assisting in monitoring policies and procedures changes, implementation, and testing
• Communicating with the manager and/or supervisor on any issues
• Scanning and indexing documentation in conjunction with the above tasks as necessary
• Performing various other duties as assigned by the manager or supervisor.
• Analyzing industry rules and regulations to determine if there is any impact on the firm and/or associated persons. Prepare a summary analysis for review with your manager.
• Undertaking special compliance-related projects as assigned
• Maintaining accurate and organized compliance books and records
• Assisting in the development of annual test plans based on business and regulatory priorities.
• Leading and/or performing targeted reviews according to risk and annual test plan
• Following up on the issues and corrective action plans, tracking the remediation status, and reporting results
• Reporting and tracking of surveillance metrics 
• Responding to individual inquiries/issues from the managementteam regarding surveillance monitoring and testing functions, etc. 
• Functioning as a liaison with senior compliance functional leads to facilitate collaboration across the enterprise.
• Conducting other related tasks to support surveillance and monitoring unit functions

Skills, Experience & Qualifications:

• Bachelor’s degree OR 2+ years of Compliance experience 
• 2+ years of financial services experience 
• FINRA series 7, 63 and 65, or 66 licenses required
• FINRA series 24 licenses preferred
• Strong analytical and critical thinking skills 
• Advanced proficiency in Microsoft Excel
• Multi-tasking abilities
• Excellent interpersonal and communication skills 
• Possess adaptability/flexibility and organizational sense
• Able to effectively collaborate with others
• Must be able to identify, analyze, and solve problems of a complex nature in a timely manner
• Accountable for decision-making and problem-solving as it relates to assigned duties.
• Must be able to perform a variety of analytical techniques
• Ability to make suggestions on how to improve and streamline functions within the department

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 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 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 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:
Jennifer Daley
jennifer.daley@stewardpartners.com

Business Data Analyst

Location: Florham Park, NJ

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 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 comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Business Data Analyst will specialize in analyzing and interpreting data to provide actionable insights that support strategic business decisions. In this position, you will work closely with employees from various departments to understand business objectives and leverage data to drive growth, optimize processes, and improve overall business performance.

Duties and Responsibilities:

• Data Analysis and Interpretation:
  • Collect, clean, and validate data from multiple sources to ensure accuracy and completeness.
  • Apply statistical techniques and data modeling to analyze large datasets and identify patterns, trends, and correlations.
  • Interpret and translate complex data into meaningful insights and actionable recommendations for business stakeholders.
  • Conduct exploratory data analysis to uncover hidden opportunities and provide a comprehensive understanding of business performance.
• Business Reporting and Visualization:
  • Develop and maintain reports, dashboards, and visualizations that effectively communicate key metrics, KPIs, and performance trends to stakeholders.
  • Collaborate with business teams to define reporting requirements and ensure the delivery of timely and relevant information.
  • Utilize data visualization tools (e.g., Tableau, Power BI) to create interactive and intuitive visual representations of data.
  • Identify opportunities to automate and streamline reporting processes to improve efficiency and accessibility of data.
• Business Insights and Decision Support:
  • Partner with stakeholders across departments (e.g., marketing, finance, operations) to understand their analytical needs and provide data-driven insights.
  • Conduct ad hoc analysis and deep dives into specific business problems to support strategic decision-making processes.
  • Assist in forecasting, budgeting, and scenario analysis by leveraging historical data and predictive modeling techniques.
  • Collaborate with cross-functional teams to develop business cases, evaluate project feasibility, and assess the impact of proposed initiatives. 
• Data Quality Assurance and Governance:
  • Ensure data integrity, accuracy, and consistency by performing regular data quality checks and implementing data governance best practices.
  • Identify and resolve data inconsistencies, errors, or gaps to maintain reliable and trustworthy data sources.
  • Stay informed about data privacy regulations and implement necessary measures to protect sensitive information.
  • Contribute to data management strategies and work closely with data engineers to optimize data collection, storage, and retrieval processes. 

• Continuous Learning and Improvement:
  • Stay abreast of industry trends, emerging technologies, and best practices in business analytics and data management.
  • Expand technical skills and knowledge through training, certifications, and self-learning.
  • Proactively identify opportunities for process improvement, automation, and optimization to enhance data analysis capabilities and efficiency.

Skills, Experience & Qualifications:

• Bachelor's degree in a relevant field (e.g., Business Analytics, Data Science, Statistics, Economics).
• Proficiency in data analysis tools and programming languages (e.g., SQL, Python, R, Excel).
• Strong analytical and problem-solving skills with the ability to translate complex data into actionable insights.
• Familiarity with statistical concepts and techniques.
• Experience with data visualization tools (e.g., Tableau, Power BI) and creating intuitive visualizations.
• Knowledge of database concepts and experience with querying languages (e.g., SQL).
• Excellent communication and presentation skills to convey insights to both technical and non-technical stakeholders.
• Business acumen and understanding of key performance indicators (KPIs) in various business functions.
• Ability to collaborate effectively with cross-functional teams and build strong relationships with stakeholders.
• Detail-oriented mindset with the ability to work with large datasets and identify data quality issues.
• Familiarity with machine learning concepts and algorithms is a plus.
• Understanding of data privacy, security, and regulatory compliance.
• Ability to work independently and in a team-oriented environment.

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

Deputy Chief Compliance Officer

Location: Flexible, can be remote or hybrid in one of our various branches

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 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 comprehensive client service with an unwavering commitment to excellence.

Position Overview:

We seek a proven compliance professional to lead a team of compliance specialists to deliver broker-dealer and investment adviser compliance functions. The Deputy Chief Compliance Officer (DCCO) will report directly to the enterprise CCO and will be responsible for developing, implementing, communicating, and reviewing Firm policies, procedures, trends, and systems designed to enable the broker-dealer and RIA to effectively manage risk and remain in compliance with all applicable securities regulations. Responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the compliance program for the firm’s broker/dealer and two SEC-registered RIA firms. The DCCO will also assist the CCO in ensuring that Steward Partners complies with regulatory requirements and firm policies by providing leadership and education on the firm's Compliance, Risk Management, and Operations.

Duties and Responsibilities:

• Maintain written supervisory procedures and other enterprise compliance policies and procedure manuals. 
• Consult with Sales & Marketing, Operations, and other departments on compliance, supervision, management, and compliance issues.
• Maintain regulatory filings and disclosures for the broker/dealer and RIA (e.g., Form BD, Form ADV Part 1 & 2A, Form CRS, Regulation Best Interest Disclosure, 13F, etc.)
• Provide direction for the Compliance team, including employee selection, performance management, and development.
• Manage developing and delivering a comprehensive educational program to meet the firm’s regulatory-related needs and obligations, including the Annual Compliance Meeting and Firm Element courses.
• Provide subject matter expertise to the firm’s Wealth Managers and field members.
• Partner with the regulatory team and CCO to research existing rules, monitor regulatory developments, and communicate changes to field and home office staff.
• Oversee management of the firm’s advertising and social media review and associate disclosure obligations. 
• Aid with the execution of FINRA Rule 3120/3130 and SEC 206(4)-7 annual reviews/reports and regulatory requests.
• Support company mission and values.

Skills, Experience, & Qualifications

• Series 7, 24, and 65 or 66 
• At least 7+ years of compliance experience, with 3+ years of compliance experience with leading compliance teams
• Deep knowledge of the Investment Advisers Act of ‘40, FINRA regulations, and various federal and state regulations.
• Experience with the current and proposed regulatory environment (SEC, FINRA, MSRB, States and DOL)
• Thorough knowledge of securities products (i.e., mutual funds, ETFs, variable annuities, structured products, alternative investments, complex products, and individual securities) and advisory programs (e.g., UMA, SMA, TAMP, “Rep as PM,” etc.)
• Strong analytical, communication, and presentation skills
• Ability to work well under pressure and tight deadlines.
• Strong experience in interacting with regulators.
• Desired competencies include action and solution-oriented mindset, command skills, leading and developing direct reports, innovation, continuous improvement, accountability, measuring change, metrics focus, and driving for results.

Location:
Flexible, can be remote or hybrid in one of our various branches.

Status:
Exempt

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

Compliance Officer

Location: Flexible, can be remote or hybrid in one of our various branches

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 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 comprehensive client service with an unwavering commitment to excellence.

Position Overview:

The Compliance Officer works as part of the Compliance team to ensure that processes and procedures are implemented to mitigate and reduce risk to the Firm. Primary duties include reviewing advertising and sales materials and other business communications, monitoring and supervising the activities of registered representatives of the firm, and overseeing the registration and maintenance of associated person disclosures.

Duties and Responsibilities:

• Advertising, Communication, and Social Media Review
• Monitor adherence to the Firm’s Code of Ethics (personal trading, gifts and entertainment, political contributions, etc.)
• Review / Approve Outside Business Activity and Private Security Transaction requests.
• Support associate compliance functions like personal trading, OBAs, registrations, and certifications
• Applying Firm policies, procedures, and regulatory requirements to review Firm and financial advisor marketing and advertising submissions, social media content, website reviews, etc.
• Effectively communicate with internal partners, financial advisors and assistants on marketing and advertising submissions that require modification or updates to meet Firm policies, procedures, and regulatory guidelines.
• Work closely with technology partners to identify business requirements, perform testing, and implement new functionality.
• Develop strong relationships with financial Wealth Managers, their supervisors, and assistants to help facilitate their marketing endeavors.
• Prepare metrics and reporting regarding marketing/advertising review and COE activities.
• Draft, update, and keep current Written Supervisory Procedures about duties and responsibilities. 
• Assist with the firm compliance testing program and compliance policy updates.
• Assist in reviewing and testing the Firm’s marketing and advertising policies and procedures.
• Assist in responding to regulatory inquiries concerning marketing and advertising.
• Facilitate Firm communications for updated marketing and advertising policies, procedures, and training.
• Provide new and creative ideas to improve field experience and enhance overall supervisory procedures.
• Cross-train and educate internal partners.
• Other ad hoc compliance duties or projects that may be assigned.

Skills, Experience, & Qualifications

• Bachelor’s degree or equivalent work experience.
• Five years of related experience in the Broker-Dealer and RIA industry.
• 3+ years of experience conducting marketing and advertising reviews per FINRA and SEC regulations. 
• Active Series 7 and 24 required
• Expertise in FINRA Public Communications Rules (e.g., Rule 2210) and the SEC Marketing Rule
• Familiar with FINRA CRD
• Knowledge of products and markets, particularly retail brokerage, investment advisory programs, insurance, banking products, and capital markets.
• Well-organized and very detail-oriented.
• Ability to manage delivery/execution of various tasks and initiatives.
• Strong written and verbal communication skills. 
• Strong presentation skills, including the ability to create professional PowerPoint presentations for various levels of management.
• Independent self-starter who can manage multiple activities to defined deadlines.
• Excellent analytical, critical thinking, and organizational skills.
• Proficient in Microsoft Excel, PowerPoint, Word, SharePoint and Adobe Acrobat.
• Experience with Proofpoint, AdTrax, and Broadridge, a plus.

Location:
Flexible, can be remote or hybrid in one of our various branches.

Status:
Exempt

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

Accounts Receivable (A/R) Clerk

Location: Portland, OR

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 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 platinum level client service with an unwavering commitment to excellence.

Position Overview:

The A/R Clerk position reports to the Senior Accounting Specialist and is responsible for all accounting entries and activities related to billing and cash collections. The A/R Clerk will own the entire process around accounts receivable, including communications with clients to initiate collections and the proper tracking and recording of all related general ledger activity. The role will work closely with their counterparts and see increases in responsibility over time.

Duties and Responsibilities:

• Track all banking activity and identify accounting treatment of cash inflows related to revenue
• Communicate with clearing firms and outside companies to obtain statements for identifying revenue collected
• Track commissions and organize data for upload to the company’s commission tracking system
• Work with compensation team on commissions payout calculations
• Maintain and balance entities’ accounts receivable and cash accounts by verifying, posting, and reconciling transactions and resolving discrepancies
• Complete bank reconciliations
• Create invoices according to company polices, as needed
• Own a piece of the monthly, quarterly, and annual close processes
• Assist with external audit by analyzing cash and accounts receivable general ledger accounts and providing information for auditors
• Perform account analysis and reconciliation using bank statements, credit card and intercompany general ledger accounts
• Assist the department with the development and implementation of accounting policies and best practices around accounts receivable

Skills, Experience & Qualifications

• Bachelor’s degree in Accounting or Finance
• 1-3 years of accounting experience, with accounts receivable focus, broker dealer experience preferred
• Excellent verbal and written communication skills
• Strong knowledge of MS Excel
• Proficient with other Microsoft Office Suite of products such as Word, Outlook, PowerPoint
• Experience with Sage Intacct preferred
• Attention to detail and organized
• Adaptable and able to effectively prioritize tasks
• Self-motivated, deadline driven and results oriented, a problem solver with strong teamwork skills 
• Proven ability to be decisive, resolve issues and deliver on commitments and deadlines

Location:
Portland, OR

Status:
Non-exempt

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

Head of Regulatory Affairs

Location: Remote

Company Overview:

Steward Partners Global Advisory (“SPGA”) 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 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 comprehensive client service with an unwavering commitment to excellence.

Position Overview:

We are seeking an experienced compliance professional to manage regulatory responses, testing, and regulatory risk analysis activities for SPGA’s broker-dealer and investment adviser subsidiaries. As the point person for managing regulatory matters for SPGA’s subsidiaries, this role will work closely with the enterprise CCO, and key constituencies within the firm’s Risk, Compliance, and Supervisory division, as well as other departments as needed.

Duties and Responsibilities:

• Managing a team responsible for delivering appropriate responses to firm regulatory inquiries, examinations, internal audits, and other reviews.
• Tracking and reporting the status of regulatory matters across the enterprise.
• Conducting compliance risk assessments, based on regulatory risk alerts, exam priorities, and notable regulatory hot topics.
• Managing the firm’s testing and monitoring program in accordance with regulatory expectations and best practices, including compliance rules 3120/3130, and 206(4)-7.
• Analyzing the impact of proposed/new rules and regulations on firm’s policies and procedures.
• Partnering with the legal counsel and firm’s CCO’s to proactively analyze and manage changes to regulatory requirements.
• Identifying opportunities for improving the firm’s policies and procedures to mitigate risk.
• Supporting company mission and corporate values.
• Overseeing the activities of the regulatory matters team.
• All other duties as assigned. Ensuring execution of FINRA Rule 3120/3130 and SEC 206(4)-7 annual reviews/reports

SKILLS, EXPERIENCE, & QUALIFICATIONS

• Bachelor's degree (B. A. / B.S.) from four-year college or university; or five to six years related experience and/or training; or equivalent combination of education and experience.
• 7-10+ years industry experience related to Broker/Dealers and Registered Investment Advisers.
• 10+ Years of experience in applicable compliance experience.
• Active FINRA Series 7, 24, as well as 65 or 66 required.
• Knowledge of the broker-dealer/adviser operations from a product, corporate governance, compliance, and administrative perspective
• Experience with FINRA Rules 3120/310, Advisers Act Rule 206(4)7 testing, and conducting risk assessments.
• Experience in interreacting directly with financial services regulatory bodies (SEC, state, FINRA etc.) strongly preferred.
• Experience developing and implementing compliance programs.
• Strong knowledge of FINRA and SEC rules and regulations, including Regulation Best Interest, and the Investment Advisers Act of 1940.
• Ability to read, analyze, interpret, and communicate regulatory guidance and disclosures, as well as general business periodicals, professional journals, technical procedures, or governmental regulations.
• Ability to manage and effectively influence while providing advice and guidance.
• Exceptional analytical and investigative skills with capability to independently identify and analyze compliance issues.
• Strong ability to work independently on projects with minimal oversight.
• Ability to build consensus among managers and employees across departments.
• Excellent oral and written communication skills.
• Strong critical thinking skills and be an ardent problem solver.
• Strong organization and project management skills with attention to detail.
• Maintenance of discretion in handling confidential information
• Comfortable with adopting new technologies, and proficient in Microsoft Office Suite (Word, Excel, Project, PowerPoint)
• Designations a plus (CRCP. IACCP, CFP, etc.)

Location:
Remote

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

Divisional Business Director (Southeast)

Location: Flexible, but must be located within the Southeast Division’s region.

Position Overview:

The Divisional Business Director is primarily responsible for the overall operational and business functions within assigned branches. The Divisional Business Director is a key member of the Divisional Leadership team, working closely with the Divisional President and other members of the Divisional team to provide concierge level support to the Wealth Managers and their team. The Divisional Business Director maintains a close alignment to the Home Office Operations function, leads the division’s transition process and is responsible for the management of all sales support personnel (“CAMs”) within their assigned locations, acting as back up to other Divisional Business Directors as needed.

Divisional Operational Management, Risk/Compliance:

• Perform daily supervisory tasks such as, approving correspondence, complaint processing, transition leadership, complex problem solving, deposit approvals, client calls backs for 3rd party funds, signature guarantees, additional support for new account approvals and money movement when volume dictates, CAM Supervision and other operational functions including executing documents (heavy workload during a transition)
• Review, escalation and completion of assigned Supervisory tasks and Quarterly Business Risk Assessment in partnership with Divisional President and Risk partners
• Timely escalation of complex risk/compliance items for action and resolution
• Respond to compliance and/or operational inquiries from Advisors, CAMs and back office, ensure branch overnight mailings and regular mailings are sent 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 Compliance/Supervision 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 custodians and the Divisional President or Divisional Vice 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 in partnership with the Divisional Administrative Assistants, 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
• 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 vacation 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:

• Work with Divisional Administrative Assistant for escalations of office infrastructure issues.
• 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
• Other ad hoc duties or projects that may be assigned by the Firm Management

Communication & Branch Visibility:

• Maintain a branch visitation schedule, coordinating with other members of the Divisional Leadership team to ensure all assigned offices are visited at least once per month
• Conduct CAM team meetings & 1:1’s including regular and annual Check-Ins
• Annual Divisional Business Director offsite

EDUCATION, EXPERIENCE, KNOWLEDGE & 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:
Flexible, but must be located within the Southeast Division’s region.

Reporting:
Divisional President

Maintain effective working partnership with Home Office Operations to ensure alignment with operational policies and procedures, CAM development and Firm initiatives.

For additional information or to submit a resume, please contact:
hr@stewardpartners.com

Client Administrative Manager

Location: Austin, TX

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 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 comprehensive 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:
Austin, TX

Status:
Non-exempt

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

Registered Client Administrative Manager

Location: Valencia, CA

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 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:
Valencia, CA

FLSA Status:
Non-Exempt

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

Registered Client Administrative Manager

Location: Location: McLean, 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 Registered 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
• Active Series 7 and 66 (or 63 and 65) Licenses 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.
• Use effective oral and written communication skills sufficient enough to interact effectively with and guide financial advisors and their staff on various operational issues.
• 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 Raymond James 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