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 Due Diligence Officer works as part of the Risk Management team. The Due Diligence Officer will perform investment management due diligence and/or oversight on both retail products and third-party investment advisory strategies/managers. This includes both initial and ongoing due diligence. In addition, the Due Diligence Officer will act at the Chairperson of the Firm’s Product Review Committee.

Duties and Responsibilities:

  • Administer and execute the Firm’s product Due Diligence program
  • Communicate research and investment content both orally and written to different audiences including Sr. Management, advisors and other home office staff. 
  • Create and present technical due diligence reports, risk assessment considerations and recommendations to product review committee, executives and other stakeholders
  • Create a program/methodology to perform ongoing reviews of products and third-party managers
  • Monitor the performance of approved offerings and sponsor activities and report on a regular basis updated information on product platform 
  • Conduct due diligence reviews while being cognizant of the regulatory requirements the firm is subject to; namely Regulation Best Interest, FINRA Rule 2111 (reasonable-basis) and the fiduciary obligation of the Investment Advisers Act of 1940 
  • Ensure compliance with FINRA Rule 5123
  • Collaborate with Compliance department to respond to product-related regulatory inquiries
  • Other ad hoc duties or projects that may be assigned by the SPGA Management team


  • Minimum 7 years of related experience within the wealth management industry.
  • Bachelor’s degree or equivalent work experience
  • Active Series 7, Series 66 (or 65 and 63) and 24 required
  • CFA designation would be preferred
  • Strong background in researching and evaluating investment products, with a focus on complex/alternative products (private placements, hedge funds, non-traded REITs, BDC’s, structured notes, etc.)
  • Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, insurance, banking products and capital markets
  • Strong research skills
  • Ability to take initiative and follow through on projects independently
  • Proven analytical skills, good judgment and an ability to be nimble in a dynamic/evolving environment
  • 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 critical thinking and organizational skills
  • Skilled in Microsoft Excel, PowerPoint, and Word, and SharePoint

Location: Various

  • New York, NY, Albany, NY, Florham Park, NJ or Paramus, NJ 
  • Andover or Boston, MA
  • Washington DC, Bethesda MD or McLean VA
  • Dallas, Austin or Houston, TX
  • Portland, OR 
  • Remote


Reports to:
Chief Risk Officer

For additional information or to submit a resume, please contact:
Human Resources

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.