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.


The Divisional Business Director is primarily responsible for the overall operational and business functions within assigned branches. The Divisional Business Director works closely with the Divisional President and the Home Office team to supervise all operational, assigned risk/compliance functions, service and transition duties for the covered branches which also includes the management of all sales support personnel within those locations.


Operational Management, Risk/Compliance:

  • Perform daily supervisory tasks such as correspondence, review and sign off requests for marketing review, complaint processing, trade corrections and other operational functions as necessary to provide backup to central support.
  • Review, escalation and completion of assigned tasks in Supervisory Workstation and Quarterly Business Risk Assessment in partnership with Divisional President and Risk partners
  • Timely escalation of complex risk/compliance items to the Supervision and/or Compliance team for action and resolution
  • Respond to compliance and/or operational inquiries from Clearing Firms, ensure overnight mailings and regular mailings are sent, process ACAT fee reimbursements and work with branch personnel on escalations and complex problem solving 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
  • Collaborate with Home Office and Risk & Compliance on policy and procedure updates that need to be implemented within branches

Transition Management:

  • Play an important role in the preparation for onboarding new Advisors and their team and be point of contact at the branch for all transition activity
  • Anticipate and appropriately plan for resource needs and support during the transition period
  • 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

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:

  • 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


  • 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

Austin, TX

Reports to:
Divisional President & Home Office Operations

For additional information or to submit a resume, please contact:
Jennifer Daley

Steward Partners Global Advisory, 1776 I Street NW, Suite 700, Washington, DC 20006. Securities and investment advisory services are offered through Steward Partners Investment Solutions, LLC, registered broker/dealer, registered investment adviser, Member FINRA/SIPC. Steward Partners Investment Solutions, LLC is an affiliate of Steward Partners Global Advisory, LLC.