HEAD OF LICENSING & REGISTRATIONS

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 Head of Licensing & Registrations will act as a resource and subject matter expert for business units on all issues related to Licensing and Registration (L&R) and leads the team responsible for Regulatory Reporting, Registration Activities, and Insurance Licensing.

The Licensing & Registrations (L&R) team monitor and ensure compliance with rules regarding FINRA Registration, Investment Adviser Representative registration, and State Insurance Licensing form submissions, including Form U-4, U-5, Terminations, fingerprinting, and as required. L&R also plays a key role in the pre-hire process and supporting the Firm’s ability to onboard Advisors and other partners. This involves requesting and reviewing background information, reports, etc.

The Head of L&R will have primary responsibility for the continued development and enhancement of the Firm’s L&R function, working closely with Operations, Supervision and Compliance to integrate compliance protocols into the Firm’s operations to ensure the firm, its personnel and its representatives comply with applicable federal, state and self-regulatory (FINRA) regulations. The position is responsible for providing a culture of compliance balanced with a service first attitude, creating success for Advisors and the Firm.

DUTIES AND RESPONSIBILITIES:

• Lead the development of the strategic vision for L&R to enhance and administer the risk management, policies, processes and technology systems for Licensing and Registrations to ensure that the organization operates within identified risk parameters via the organization’s strategic risk appetite
• Serve as escalation point for issues and higher profile matters related to insurance contracting, licensing, individual state and branch registrations, Form U4, U5, including IAR affiliations and IARD filings
• Provide management with metrics and other data on a regular basis or as requested
• Serve as functional lead for all L&R projects and provide L&R support to projects, as necessary
• Provide guidance regarding licensing exams, and disclosure requirements. 
• Understand the firm’s business models, particularly changes in existing or new business models to assess the implications, if any, to registration requirements.
• Utilize internal and external (e.g., WebCRD) reports to identify and mitigate risk
• Develop and execute plan for annual renewal process
• Oversee handling of regulatory state/SRO inquiries and requests concerning registered personnel partnering with Risk & Compliance as necessary.
• Develop and maintain L&R forms and procedures
• Participate in industry calls/meetings/committees with colleagues from peer firms and regulators to ensure awareness of new and changing regulatory requirements to determine impact to firm and implement changes as needed.
• Manage day-to-day L&R functions and provide development, training and support to L&R staff and create and maintain effective internal communications to support the field. 
• Create a positive team culture through achievement of results, teamwork, development, accountability, competency and professionalism. 
• Perform additional projects and tasks as assigned.
• Lead creation of efficient and streamlined procedures to improve partner onboarding experience
• Collaborate across departments to enhance process that involved L&R such as development of data flow to fulfill multiple needs from L&R database. 

SKILLS, EXPERIENCE, & QUALIFICATIONS

• 5 years professional experience in a broker-dealer business: Supervisory or Compliance role
• Minimum of 3-5 years experience directly leading a team
• Strong working knowledge of the rules, regulations, and policies applicable to licensing and registration and ability to distill practical applications of such rules, regulations and policies.
• Proven ability to identify and solve complex issues in a team environment working with various levels of management and business partners
• Excellent leadership communication skills
• Successful use of technology as a tool to implement policies and create efficiencies
• Excellent time management and communication skills (verbal and written)
• Detail oriented with the ability to juggle multiple tasks of varying degrees of urgency
• Ability to work under pressure, prioritize team success and meet deadlines
• Flexible and adaptable to changing work processes and environment
• Experience implementing policies/procedures, supervisory processes and experience applying their business expertise and knowledge to the development of the team
• Prior experience using relevant regulatory systems (e.g., WebCRD, IARD, ORS, NMLS, etc.) is preferred
• Strong knowledge of FINRA Form BR and its requisite requirements
• Proficiency with Microsoft Excel and PowerPoint
• Series 7 and 24 required

Location:
The ideal candidate would be based locally to one of our Firm offices and can work a hybrid schedule. However, all qualified candidates working from any of the US states are encouraged to apply.

Direct Reports:
This role has three direct reports: Registration Manager, Registrations Analyst and New Hire & Onboarding Coordinator.

Reports to:
Chief Service & Strategy Officer

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