BRANCH EXAM MANAGER

BRANCH EXAM MANAGER

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 Branch Exam Manager is responsible for planning, managing and executing the Firm’s branch exam program in accordance with FINRA requirements and other industry standards. The incumbent will have strong knowledge of regulatory requirements and examination methodologies. This role will set the strategic direction for the Firm’s branch examination program; to include establishing policies/procedures, pre-examination processes, exam methodologies, post-exam reporting, follow-up and tracking. In addition, the incumbent will conduct a portion of the Firm’s branch examinations. As the Firm continues to grow, this role will manage a team of branch examination staff.

Duties and Responsibilities:

  • Develop the Firm’s branch exam schedule on a yearly basis
  • Develop and maintain the audit workbook, which serves as the roadmap for the exam
  • Monitor regulatory developments and trends regarding branch examinations and partner with the Compliance management team to implement changes, where needed
  • Develop, prescribe, and assist in corrective action from examinations performed to reasonably comply with state, federal and Self-Regulatory Organization (SRO) regulations.
  • Conduct branch examinations of supervisory/OSJ locations, non-supervisory branches and non-branch locations.  The examinations may be either in-person or remote
  • Educate Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam
  • Assess the risk and opportunity of identified strategies, options and actions and develop solutions which overcome problems and setbacks in achieving goals
  • Proactively develop, track and report on key exam-related metrics to key stakeholders and senior management team
  • Build excellent working relationships across multiple lines of business and corporate functions to launch projects and meet deadlines
  • Implement strategies that deliver required examinations on schedule and within budget
  • Conduct ad hoc internal compliance investigations and produce final report

Skills, Experience & Qualifications

  • 3-5 years of compliance/branch exam experience
  • Series 7 required and 24 required
  • Strong understanding of regulatory (i.e., FINRA, SEC etc.) environment
  • Knowledge of concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams
  • Constructively handle disagreements or conflicts to reach a resolution
  • Ability to travel up to 25% of the time.
  • Must be detail-oriented, investigative and the ability to work independently
  • Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds
  • Strong verbal communications skills with the ability to communicate effectively at all levels across the organization
  • Ability to grasp key issues quickly, with a can-do attitude to solving complex problems.
  • Strong organizational and interpersonal skills
  • Self-starter who takes initiative and learns quickly in a fast-paced environment
  • Excellent relationship management aptitude and attitude
  • Ability to work in a fast-paced work environment with dynamic priorities and deadlines
  • Proficient in Microsoft applications (Word, Excel, PowerPoint and Outlook)

Location:
Flexible, can be a remote or hybrid position. Individual must be willing to travel as needed.

Reporting to:
Chief Compliance Officer

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

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.