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 Risk Management and Compliance team to create and implement control processes and procedures that mitigate and reduce risk to the business. In addition, the Compliance Officer conducts targeted reviews, performs controls testing, provides governance oversight and supports operational risk initiatives in partnership with all departments across the Firm.

Duties and Responsibilities:

  • Administer the Firm’s Compliance program including training
  • Monitor risk and compliance workflows with Compliance technology program
  • Conduct reviews to assess compliance and operational risks
  • Review and remediate various reports and business practices against existing policies
  • Support the development and enhancement of risk and compliance policies, procedures, and related training, providing input and working with the rest of the Risk and Compliance team
  • Conduct any regulatory (i.e., FINRA, SEC) reviews of the Firm’s policies and procedures, including conducting testing of policies and procedures, and participate in the drafting of the report to management regarding the same
  • Maintain and review Insurance Policies and Procedures and respond to insurance escalations
  • Interact with various departments within the Firm to ensure consistency in policies and procedure
  • Assist in updating the Compliance Manual, Code of Ethics, and Policies and Procedures.
  • Review and assist in updating Registrations and FINRA/SEC regulatory filings
  • Respond to regulatory inquiries
  • Conduct internal branch audits
  • Oversee component of the Anti-Money Laundering (AML) Program
  • Manage Compliance Analysts by providing oversight, supervision, coaching and development
  • Handle escalations from Compliance Analysts or other internal partners
  • Identify potential areas of compliance vulnerability and risks
  • Other ad hoc duties or projects that may be assigned by the SPGA Management team

Skills, Experience, & Qualifications

  • Minimum 10 years of related experience within Wealth Management, and involvement in Operational Risk Management or Compliance
  • Bachelor’s degree or equivalent work experience
  • Active Series 7, Series 66 (or 65 and 63) and 24 required
  • Series 4 is strongly preferred as is the 53 or the willingness to obtain
  • Background in Branch Exams, Registrations, Continuing Education, Trade Surveillance, Reg S-P, Fixed Income, RIA, Insurance
  • Experience in Marketing and Advertising review or Complaint Handling is strongly preferred
  • Working knowledge of AML
  • 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 high quality 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, Word, and SharePoint



For additional information or to submit a resume, please contact:
Kirstie Eustace

Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY 10017. 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.