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.
The Compliance Analyst works closely with the Compliance Officer as part of the Risk Management and Compliance team to ensure that control processes and procedures are implemented to mitigate and reduce risk to the business.
Duties and Responsibilities:
- Review Firm and Advisor marketing and advertising submissions and social media content
- Process Registration requests (new-hire onboarding including insurance, firm Notice filings, annual renewals, etc.) and Partner with Operations to conduct Registration reviews
- Ensure timely and accurate new-hire onboarding tasks are completed at the branch level
- Assist Compliance and Risk team with preparing reports for reviews
- Create and update Advisor ADV 2Bs
- Assist in conducting any reviews of the Firm’s policies and procedures, including conducting testing of policies and procedures
- Respond to general Insurance registration questions from the Advisors
- Facilitate Firm communications for updated policies, procedures and training
- Facilitate and monitor Firm continuing education and attestations notifications and tracking
- Monitor and communicate regulatory continuing education requirements
- Function as a liaison with our insurance vendor and review/update procedures to ensure efficient workflow processing and notifications.
- Assist Operations and Business Admin departments with Outside Business Activities (OBA) questions and reviews for new hires and report any exception requests or escalations to the appropriate department head for review.
- Research topics for Operations and Risk monthly firm newsletter
- Process requests for amendments to U4/U5s, branch registrations, and disclosure filings
- Assist in responding to regulatory inquiries
- Other ad hoc duties or projects that may be assigned by the SPGA Management team
Skills, Experience, & Qualifications
- 5 years of related experience in Wealth Management, and involvement in Operational Risk Management or Compliance
- Bachelor’s degree or equivalent work experience
- Active Series 7, 66 (or 65 and 63), 24 required (9/10 as an alternative to 24, but 24 must be obtained within 6 months of hire)
- Background in Marketing and Advertising and/or Registrations preferred
- Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, insurance, banking products and capital markets
- Ability to manage delivery/execution of a wide range of tasks and initiatives
- Strong written and verbal communications skills
- Strong presentation skills, including ability to create polished 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
- Highly skilled in Microsoft Excel, PowerPoint, and Word and SharePoint
For additional information or to submit a resume, please contact: