A Best-Of-All-Worlds Model

Careers at Steward Partners

Full-Service Independence with
Equity Upside

Location: Hybrid, Washington, DC area

Divisional Business Director

The Divisional Business Director is primarily responsible for the overall operational and business functions within assigned branches. The Divisional Business Director is a key member of the Divisional Leadership team, working closely with the Divisional President and other members of the Divisional team to provide concierge level support to the Wealth Managers and their team. The Divisional Business Director maintains a close alignment to the Home Office Operations function, leads the division’s transition process and is responsible for the management of all sales support personnel (“CAMs”) within their assigned locations, acting as back up to other Divisional Business Directors as needed.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners 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 Divisional Business Director is primarily responsible for the overall operational and business functions within assigned branches. The Divisional Business Director is a key member of the Divisional Leadership team, working closely with the Divisional President and other members of the Divisional team to provide concierge level support to the Wealth Managers and their team. The Divisional Business Director maintains a close alignment to the Home Office Operations function, leads the division’s transition process and is responsible for the management of all sales support personnel (“CAMs”) within their assigned locations, acting as back up to other Divisional Business Directors as needed.

Duties and Responsibilities:

Divisional Operational Management, Risk/Compliance:

  • Perform daily supervisory tasks such as, approving correspondence, complaint processing, transition leadership, complex problem solving, deposit approvals, client calls backs for 3rd party funds, signature guarantees, additional support for new account approvals and money movement when volume dictates, CAM Supervision and other operational functions including executing documents (heavy workload during a transition)
  • Review, escalation and completion of assigned Supervisory tasks and Quarterly Business Risk Assessment in partnership with Divisional President and Risk partners
  • Timely escalation of complex risk/compliance items for action and resolution
  • Respond to compliance and/or operational inquiries from Advisors, CAMs and back office, ensure branch overnight mailings and regular mailings are sent and work with branch personnel on escalations 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
  • Take direction from the Operation and Compliance/Supervision leads on policy or process updates that need to be implemented within branches

Transition Management:

  • Play a key role in the preparation for onboarding new Advisors and their team and be point of contact at the branch for all transition activity
  • In partnership with custodians and the Divisional President or Divisional Vice President, facilitate client discovery “spreadsheet” calls with prospective advisors and ensure accurate documentation in compliance with protocol requirements
  • Anticipate and appropriately plan for resource needs and support during the transition period
  • Ensure new Advisors and their teams have the appropriate set up on arrival in partnership with the Divisional Administrative Assistants, including but not limited to, building access, technology and telephones, providing onboarding resources, information and points of reference, ensuring appropriate personnel are available onsite as needed, coordinate mailings and office resources
  • 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

Build & Maintain Relationships

  • Maintain regular branch visitation schedule across assigned branches to ensure visibility, connectivity and promote Firm culture
  • Build effective teams by constantly communicating relevant information on a timely basis and conducting regular meetings, facilitate collaboration of CAMs and encouraging idea sharing and partnership

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:

  • Work with Divisional Administrative Assistant for escalations of office infrastructure issues.
  • 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

Communication & Branch Visibility

  • Maintain a branch visitation schedule, coordinating with other members of the Divisional Leadership team to ensure all assigned offices are visited at least once per month
  • Conduct CAM team meetings & 1:1’s including regular and annual Check-Ins
  • Annual Divisional Business Director offsite

Education, Experience, Knowledge, and Skills

  • 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

Location:
Hybrid, Washington, DC area

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

New York, New York

Assistant Controller

The Assistant Controller will be responsible for providing accounting, regulatory reporting, and management in support of the company’s operations. The role requires working effectively under tight deadlines, attention to detail, and consistently accurate, high-quality analyses. Position reports to the Controller.

Assistant Controller

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm with professionals delivering multifaceted financial solutions and comprehensive service to our clients and their families.

Steward Partners 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 Assistant Controller will be responsible for providing accounting, regulatory reporting, and management in support of the company’s operations. The role requires working effectively under tight deadlines, attention to detail, and consistently accurate, high-quality analyses. Position reports to the Controller.

Duties and Responsibilities:

  • Responsible for the day-to-day accounting functions, such as month-end closing, preparation of financial statements, general ledger reconciliation, equity table management, broker-dealer/RIA operations, and financial reporting
  • Assist with all external audits, including financial, tax, and regulatory, as necessary
  • Manage tax compliance – Federal, state & local returns, property tax filings, and supervise the thirdparty tax return preparer
  • Oversee preparation of financial reporting package to facilitate senior management review
  • Work closely with the accounting team and oversee the team meetings
  • Manage the close checklist while looking for ways to optimize on our closes processes across the department
  • Assist with research and implementation of new accounting pronouncements
  • Provide timely and accurate accounting information in response to management requests, as needed
  • Assist with monitoring credit covenants and analysis on cash management along with the monthly reporting package
  • Support initiatives targeted at financial process improvement and the implementation of changes to achieve efficiencies and the company's objectives while maintaining the highest regulatory and accounting best practices
  • Ensure accurate and timely completion of the month-end, quarter-end, and year-end close processes
  • Establish, maintain, and monitor appropriate financial policies, controls, and processes
  • Continually identify and implement efficient procedures and processes to enhance the department workflow while maintaining an elevated level of accuracy

Skills, Experience & Qualifications

  • Series 24 a strong plus
  • Bachelor’s degree in finance, Accounting, or Business; or equivalent experience in accounting or finance
  • Minimum 5 years of supervisory experience overseeing financial teams and systems, with a focus on broker dealers
  • CPA required (Big 4 Public Accounting experience strongly preferred)
  • Strong knowledge of GAAP accounting and ability to perform technical accounting research as required
  • High level of proficiency in Excel
  • Experience with a broad range of accounting systems, including general ledger, ERP, accounts payable, procurement, etc. (currently using Sage Intacct, Bill.com and Expensify)
  • Demonstrated history of process development and improvement
  • Ability to work in a fast-paced, entrepreneurial environment
  • Comfortable with confidential information and/or issues and using appropriate discretion and judgment

Location:
New York, New York

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

Location: Flexible across Steward Partners network of offices, hybrid and remote options are also available.

Corporate Counsel

The Corporate Counsel will report to the Firm’s Head of Strategic Initiatives and Chief Legal Officer and play a key role in providing legal support and expertise across a variety of corporate and commercial matters, with a primary focus on contract work. The ideal candidate will have 3-5 years of relevant experience and a strong understanding of corporate law and exposure to regulatory compliance.

Corporate Counsel

Flexible across Steward Partners network of offices, hybrid and remote options are also available.

Company Overview:

Steward Partners 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 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 Corporate Counsel will report to the Firm’s Head of Strategic Initiatives and Chief Legal Officer and play a key role in providing legal support and expertise across a variety of corporate and commercial matters, with a primary focus on contract work. The ideal candidate will have 3-5 years of relevant experience and a strong understanding of corporate law and exposure to regulatory compliance.

Duties and Responsibilities:

  • Draft, review, and negotiate a wide range of contracts and agreements, including client agreements, vendor contracts, and service agreements.
  • Provide legal guidance and support to internal stakeholders on corporate governance matters, including entity formation, corporate structuring, and regulatory compliance.
  • Collaborate with cross-functional teams to assess legal risks and develop strategies to mitigate them effectively.
  • Stay abreast of industry developments and regulatory changes affecting the wealth management industry and advise stakeholders accordingly.
  • Assist with due diligence efforts in corporate transactions, including mergers and acquisitions, joint ventures, and strategic partnerships.
  • Conduct legal research and analysis on various corporate and commercial issues as needed.
  • Assist in managing relationships with external legal counsel and other third-party advisers as necessary.

Skills, Experience & Qualifications

  • Juris Doctor from an accredited law school and active membership in good standing with a state Bar association, ideally New York.
  • 3-5 years of experience practicing corporate law, with a focus on contract work and the wealth management industry preferred.
  • Strong understanding of corporate governance principles and contract law, and general understanding of regulatory compliance requirements.
  • Excellent drafting, negotiation, and communication skills.
  • Ability to work independently and collaboratively in a fast-paced environment, with a proactive and solutions-oriented approach.
  • Detail-oriented with strong analytical and problem-solving abilities.
  • Prior experience in a financial services or wealth management firm is a plus.

Location:
Flexible across Steward Partners network of offices, hybrid and remote options are also available.

For additional information or to submit a resume, please contact:
Francesca Welch
Francesca.Welch@StewardPartners.com

Location: Clearwater, FL

Registered Client Administrative Manager

Working as part of a team, the Registered Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The Registered CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

 

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and service to our client’s and their families.

Steward Partners 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 client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Registered Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The Registered CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Duties and Responsibilities:

  • Input orders at the direction of the Financial Advisor(s)
  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications:

  • Active FINRA Series 7 and 66 (or 63 and 65) Licenses
  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Clearwater, FL

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

Location: Keene, NH

Client Administrative Manager

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors. The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed.

Company Overview:

Steward Partners is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and service to our client’s and their families.

Steward Partners 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 client service with an unwavering commitment to excellence.

Position Overview:

Working as part of a team, the Client Administrative Manager (CAM) is responsible for providing operational and administrative support to a Financial Advisor or team of Financial Advisors.  The CAM enhances the client experience by providing exceptional client service and supporting Branch functions as needed. 

Duties and Responsibilities:

  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Maintain existing client relationships through the processing of client requests, resolving client inquiries, and making sure key client information and documentation is up to date
  • Conduct outreach to maintain strong relationships with client base and identify services and solutions that support clients' needs
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Support the team's marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Perform administrative duties that support Financial Advisors in daily business practices, including but not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance

Skills, Experience & Qualifications

  • Bachelor’s Degree in Business or in related field is preferred
  • Experience in brokerage operation and compliance experience in the financial services industry would be highly beneficial
  • FINRA Series 7 and 66 (or 63 and 65) preferred
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Follow-up to ensure resolution and completion of tasks
  • Provide a high level of customer service in a calm, courteous and professional manner.
  • Establish and maintain effective working relationships at all levels of the organization.
  • Strong computer skills with the ability to quickly grasp technology and train others on the effective use of firm and custodian systems
  • Team player with the ability to collaborate with others
  • Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment.

Location:
Keene, NH

Status:
Non-exempt

For additional information or to submit a resume, please contact:
Jamie Saroka
jamie.saroka@stewardpartners.com