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.
Supervisory Group at Steward Partners is responsible for oversight of the wealth management business. The team partners with Compliance to implement supervisory processes and procedures to mitigate risk and is responsible for managing the Quarterly Business Review Assessment (QBRA) process in collaboration with the Supervisory Principals. The supervisory group monitors operational readiness for audits, conducts targeted reviews, perform controls testing and provide support for operational risk items.
Duties and Responsibilities:
- Execute Quarterly Business Risk Assessment (QBRA) procedures and function as a central point of contact for the review and successful completion for the QBRAs.
- Manage centralized operational risks that impact business units
- Support the evolution and enhancement of supervisory policies and procedures, provide input and feedback to Operations and Compliance departments
- Perform reviews and analysis through QBRA and other supervisory reports and present data and recommendations to senior Management
- Responsible for email review and escalations to Supervisory Principals
- Responsible for trade blotter reviews with escalations to Supervisory Principals
- Review and approval Outside Business Affiliations for their respective Division
- Respond to branch inquiries and provide guidance to branch personnel.
- Account suitability reviews with escalations to Supervisory Principal
- ADV2bs files reviews
- Responsible for complaint file maintenance
- Entitlements review with escalations to Supervisory Principal
- Onboarding/Offboarding employees
- Review background checks for new hires and provide any high-risk items to Compliance for approval.
- Other ad hoc duties or projects that may be assigned by the SPGA Management team
Skills, Experience & Qualifications
- 5+ years of related experience in Financial Services, preferably within Wealth Management, and involvement in Operational Risk Management or Supervision
- Bachelor’s degree or equivalent work experience
- Active Series 7, Series 66 (or 65 and 63) and 9/10
- Insurance license preferred
- Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, 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, Project and SharePoint
For additional information or to submit a resume, please contact: