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:

Supervision at Steward Partners is responsible for oversight of the sales practices and branch personnel within its wealth management business. Supervisory Analysts partner with Compliance to implement supervisory processes and procedures to mitigate risk. As a team, Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Duties and Responsibilities:

  • Manage centralized operational risks that impact business units
  • Support the evolution and enhancement of supervisory policies, procedures, and systems in collaboration with Operations and Compliance
  • Perform reviews and analysis through the firm’s compliance systems and other supervisory reports; present data and make recommendations to senior Management
  • Responsible for email review and escalations
  • Monitor associate activity on multiple social media platforms
  • Perform reviews of trade blotter and activity alerts
  • Review and approve Outside Business Affiliations, Political Contributions, and Investment Activity for associates within assigned Division(s)
  • Respond to branch inquiries and provide guidance to branch personnel
  • Conduct account suitability reviews for brokerage and advisory accounts, which may include outbound quality assurance calls to clients
  • ADV-2B file reviews
  • Identify and investigate complaints and facilitate resolution and recordkeeping functions
  • Review requests for entitlements and ensure appropriate access controls are maintained to firm systems
  • Conduct pre-hire reviews and comprehensive background checks for prospective new-hire candidates and provide any high-risk items to Compliance for further review and approval
  • Other duties and projects as assigned by the SPGA Management team


  • 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)
    • - 9/10 or Series 24 and the ability to obtain the Series 4 and 53 within 6 months
  • Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, banking products and capital markets
  • Ability to manage execution of a wide range of tasks and initiatives with minimal direct supervision
  • Strong written and verbal communications skills
  • Strong presentation skills, including ability to create polished PowerPoint presentations for delivery to various audiences
  • Independent self-starter who can manage multiple activities to defined deadlines in a team setting
  • Excellent analytical, critical thinking, and organizational skills with ability to exercise good judgment
  • Proficient with Microsoft Excel, PowerPoint, Word, and SharePoint



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.