COMPLIANCE MANAGER

COMPLIANCE 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 Compliance Manager works as part of the Risk Management and Compliance team to create and implement control processes and procedures that mitigate and reduce risk to the business. In addition, the Compliance Manager conducts targeted reviews, performs controls testing, provides governance oversight and supports operational risk initiatives in partnership with all departments across the Firm.

Duties and Responsibilities:

  • Assist with the administration of the Firm’s compliance program
  • Create, implement and monitor risk and compliance workflows with Compliance technology program
  • Conduct reviews to assess compliance and operational risks
  • Review various reports and business practices against existing policies
  • Support the development and enhancement of risk and compliance policies, procedures and related training, providing input and working with the rest of the Risk and Compliance team
  • Assist in conducting any SEC required reviews of the Firms policies and procedures, including conducting quarterly testing of policies and procedures, and participate in the drafting of the report to management regarding the same
  • Interact with various departments within the Firm to ensure consistency in policies and procedure
  • Assist in updating the Compliance Manual, Code of Ethics, Policies and Procedures.
  • Review and assist in updating regulatory filings (Forms ADV, Section 13F filings)
  • Assist in responding to regulatory inquiries
  • Identify potential areas of compliance vulnerability and risks
  • Special projects as needed

SKILLS, EXPERIENCE, & QUALIFICATIONS

  • 5 years of related experience in Financial Services, preferably within Wealth Management, and involvement in Operational Risk Management or Compliance
  • Bachelor’s degree or equivalent work experience
  • Active Series 7, Series 66 (or 65 and 63) and 9, 10 required
  • 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

Location:
Flexible – could support work from home/remote

Status:
Exempt

Reports to:
Head of Risk

For additional information or to submit a resume, please contact:
Kirstie Eustace
Kirstie.eustace@stewardpartners.com

Steward Partners Global Advisory, 300 Brickstone Square, Suite 1006, Andover MA 01810. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

DIVISIONAL PRESIDENT - MID-ATLANTIC

DIVISIONAL PRESIDENT - MID-ATLANTIC

Company Overview:

Steward Partners Global Advisory (“SPGA”) 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.

SPGA 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 level client service with an unwavering commitment to excellence.

Position Overview:

The primary focus of the role is to establish and build a presence for SPGA in key markets as identified by senior management. Once a branch or branches in a market are established, it’s the responsibility of the Divisional President to drive revenue through recruiting and organic growth, focus on meeting profit objectives and effectively manage the business from a risk and compliance perspective. Job functions include maintaining a superior and consistent level of client service, developing cohesive teams, providing consistent leadership and assuming accountability for the key performance metrics.
The Divisional President must be responsible for strong fiscal management, employee morale, culture, business ethics and practices, while adhering to all Federal, State and Local laws and regulations. The Divisional President also leads the team functions including operations, risk, compliance and business development.

Duties and Responsibilities:

Business Performance & Planning:

  • Responsible for the division’s sales and financial performance
  • Drive recruiting in the region to help meet the division’s recruiting target
  • Lead proactively by identifying trends, potential areas of growth and weakness and addressing these areas in order to positively position the division within the geographic market
  • Seek opportunities to grow business and drive sales within the division by capitalizing on Firm initiatives
  • Focus on building strong working relationships with Raymond James and other partners to help achieve the division’s marketing goals
  • Drive marketing initiatives to help increase market share
  • Hold annual business planning meetings with Advisors, and quarterly follow ups where appropriate, with Advisors to provide support, consultation and alignment of resources to help advisors grow their business – share feedback and objectives from business planning meetings with SPGA Executive Management to ensure firm resources and relationships are positioned to support growth
  • Thorough understanding of the Firm’s products and those of strategic partners
  • Use product/business knowledge to provide resources and direction in order to help drive sales
  • Directs Advisors to the right resources in an efficient manner
  • Ability to understand competitor offerings and present the Raymond James products to assist Advisors in continuing to meet their clients’ needs.
  • Review and approve Advisor expenses in line with SPGA expense policy

Recruiting & Transition Leadership:

  • Full accountability for the recruiting, onboarding and transition process and experience for Advisors and their teams and adherence to the SPGA recruiting and transition process
  • Work with appropriate SPGA Management to gain approval on new office openings and any exceptions to deal established parameters
  • Manage all recruiting meetings, meeting preparation e.g. obtaining confidential profile and production reports, and handle follow up items to ensure timely processing of a formal commitment
  • Effectively applies product/business knowledge to recruiting efforts
  • Timely communication and liaison with SPGA Management members to ensure full transparency on committed recruits
  • Engage risk partners to review and approve any complex arrangements e.g. international business, professional partnerships
  • Conduct platform overview and pre-hire scrubs, obtain any requested information and approvals from Recruit and/or Raymond James
  • Escalate to senior management any business, compliance or reputational issues regarding a recruit on a timely basis
  • Manage the divisional onboarding/transition calendar to ensure there is local capacity and adequate resources are available
  • Devise join day plan in partnership with divisional team, ensure plan has been reviewed by appropriate SPGA Management prior to start date
  • Lead the onboarding experience for Advisors and their teams by ensuring new recruits have a clear and detailed transition calendar, effectively leveraging and managing Firm resources to ensure an efficient and successful transition

Communication, Culture, Diversity & Team Building:

  • Maintain regular branch visitation schedule to ensure visibility, connectivity and promote Firm culture and ensure Divisional team members also maintain visibility to achieve the same
  • Build credibility and rapport within the Divisional team (i.e. Operations Managers) by cascading relevant information on a timely basis and conducting regular meetings, at least weekly to communicate strategy, common business practices, goals and objectives
  • Lead by example by ensuring that the division is consistently achieving SPGA’s objectives, maintains a positive moral, has a reputation of fostering growth and has ethical business practices
  • Identifies key talent in the division, positions and develops that talent and encourages those individuals to participate in the leadership of the division
  • Lead and support initiatives to enhance diversity and foster an inclusive culture in the branches
  • Engages divisional team in the strategy and implementation of all Firm initiatives, including sales, hiring, recruitment, diversity and community outreach

Risk, Supervision & Compliance:

  • Responsible for the regulatory, legal and compliance issues including: risk management for the division regarding sales monitoring, human resources and legal and regulatory practices
  • Responsible for ensuring risk, compliance and supervisory procedures are adhered to across the division
  • Responsible for the monitoring and completion of assigned tasks in Supervisory Workstation and QBRA in partnership with Operations Managers and Risk partners
  • Responsible for handling escalated, sensitive or complex issue directly with Advisors leveraging Risk partners as appropriate
  • Accountable for Branch Audits including preparation, attending all audits in person across division, participation in wrap up call to review results and any remediation
  • Responsible for proactive client contact to in determining suitability and managing risk
  • Responsible for effectively communicating the status of performance and issues within the Division

Other:

  • Other projects may be added as deemed necessary by management

Reporting:

Reports to:
Head of Wealth Management

Direct reports:

  • Financial Advisors
  • Operation Managers – also reports to Head of Operations:
  • Divisional President for matters related to the day to day running of the branches/Division, transitions and onboarding, vacation scheduling & approval, risk/compliance escalations
  • Head of Operations for alignment with operational policies and procedures, branch professionals development and initiatives

For additional information or to submit a resume, please contact:
Kirstie Eustace
Kirstie.eustace@stewardpartners.com

Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY10017. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered professionals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

FINANCE & COMPENSATION ANALYST

FINANCE & COMPENSATION ANALYST

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:

Working closely with the Chief Financial Officer the primary functions of the Analyst position are to maintain and conduct analysis on financial and compensation data along with managing all payroll and commission processing.

Duties and Responsibilities:

  • Maintain monthly compensation process as well as all expense tracking related to Advisor chargebacks
  • Fully manage the bi-weekly and semi-monthly payroll processing including commissions, outside production, overtime, bonuses and expenses
  • Maintain detailed records of compensation arrangements ensuring data is accurate and reportable
  • Create and distribute monthly compensation reporting statements for Advisors
  • Liaise with Advisors and other employees for commissions and payroll related issues
  • Act as point contact with professional employer organization for payroll administration
  • Work closely with partners at Raymond James to maintain excellent communication and working relationships
  • Provide exceptional customer service to clients, develop and maintains positive client relationships.
  • Other ad hoc duties or projects that may be assigned by the SPGA Management team

SKILLS, EXPERIENCE, & QUALIFICATIONS

  • Bachelor’s Degree
  • 2+ Years professional related work experience
  • Advanced Microsoft Excel skills essential i.e. able to write macros
  • Excellent verbal and written communications skills with ability to convey complex ideas clearly & concisely
  • Ability to work with minimal supervision while preserving strict confidentiality of all information
  • Strong ability to work in a fast paced, ever changing environment and ability to multi-task on a daily basis
  • Strong attention to detail with a high accuracy rate
  • Strong customer service and interpersonal skills; ability to communicate with all levels of the organization
  • Must present self in a professional manner and be comfortable interacting with employees at all levels of the organization
  • Interest in learning new systems and technologies
  • Approaches work with mindset to continuously improve and streamline processes

Location:
Flexible with Tri-State area (i.e. New York City, or New Jersey)
Alternatively, Lake Oswego, OR

Status:
Non Exempt

For additional information or to submit a resume, please contact:
Jamie Markowitz
jamie.markowitz@stewardh.com

Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY10017. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

IT ANALYST

IT ANALYST

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 IT Analyst plays a key role in the Firm to interface with other platform and vendor teams, driving issue analysis and resolution, recommending solutions, testing development changes to ensure they adhere to requirements, and any other tasks needed.

Key disciplines of oversight:

  • Act as a key liaison with current firm outsourced technology and infrastructure providers
  • Work with senior management regarding IT strategy and planning based on the Firm’s strategic needs
  • Manage new off set up and lead technology and infrastructure build out making key design decisions
  • Attend offices onsite to lead and participate in technology set up for new locations and as needed across the existing network of offices
  • Manage IT and other infrastructure vendors to negotiate contracts on behalf of the Firm
  • Lead or support technology rollout or migrations across the Firm
  • Manage the Firm’s IT infrastructure and hardware
  • Tier 1 support performing basic problem solving and assistance on various software applications and hardware systems
  • Liaison with branch offices to monitor and log cybersecurity activity and work with technology providers to ensure all requirements are being met and maintained
  • Managing the Firms technology and software licenses and provisioning users
  • Manage user identity and access, adding and removing users, maintaining appropriate security protocols along with multi factor authentication
  • Manage VOIP services, set up for new offices and liaise with provider regarding service issues or account management

Required Skills:

  • The ideal candidate will have wealth management experience or experience in a similarly fast-growing organization
  • Experience with websites and mobile applications is preferred
  • The candidate needs to be flexible, adaptable and a team player and be comfortable interacting with senior management
  • Able to travel, including overnight to locations across the Firm’s current and future network of offices
  • Understanding of system architecture: network topologies, Microsoft domains, web/internet architectures, security best practice, etc.
  • Knowledge of helpdesk and IT operations best practices, making sure all desktop applications, workstations, and related equipment problems are resolved in a timely manner with limited disruptions
  • Strong knowledge of systems and networking software, hardware, and networking protocols
  • Strong analytical skills
  • Strong documentation skills
  • Strong critical thinking skills
  • Project management (this is not a project manager position)
  • Understanding of how financial services (wealth management) firms are organized, their culture and their pace.
  • Ability to communicate orally and written in a professional manner
  • Work well both alone or in a team setting

Location:
Flexible

Status:
Exempt

Reports to:
Chief Financial Officer

For additional information or to submit a resume, please contact:
Kirstie Eustace
Kirstie.eustace@stewardpartners.com

Steward Partners Global Advisory, 2 Grand Central Tower, 140 East 45th Street, 36th Floor, New York NY 10017. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

CLIENT ADMINISTRATIVE MANAGER

CLIENT ADMINISTRATIVE 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 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:

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

  • 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.
  • Use effective oral and written communication skills sufficient enough to interact effectively with and guide financial advisors and their staff on various operational issues.
  • 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 Raymond James 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.
  • 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

Location:
Washington, DC

Status:
Non-exempt

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

Steward Partners Global Advisory, 1776 I Street NW, Suite 700, Washington DC 20006. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

CLIENT ADMINISTRATIVE MANAGER

CLIENT ADMINISTRATIVE 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:

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
  • Active Series 7 and 66 (or 63 and 65) Licenses 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
  • Use effective oral and written communication skills sufficient enough to interact effectively with and guide financial advisors and their staff on various operational issues
  • 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 Raymond James 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

Status:
Non-exempt

For additional information or to submit a resume, please contact:
Rhett Schmedemann
rhett.schmedemann@stewardpartners.com

Steward Partners Global Advisory, 600 Cleveland Street, Suite 1150, Clearwater FL 33755. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

REGISTERED CLIENT ADMINISTRATIVE MANAGER

REGISTERED CLIENT ADMINISTRATIVE 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:

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:

  • 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
  • Onboard new client accounts, which includes the collection of required documentation and client information
  • Support the team’s marketing strategy by maintaining marketing materials, including digital and social media platforms, and planning client events and seminars
  • Proactively prepare financial reports, spreadsheets and other materials for client meetings
  • Regularly seek opportunities to use firm resources for peer sharing and collaborating with colleagues
  • Input orders at the direction of the Financial Advisor(s)
  • Assist with operational functions as required
  • 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
  • May provide support and coaching for other sales support staff

SKILLS, EXPERIENCE, & QUALIFICATIONS

  • Active Series 7 and 66 (or 63 and 65) Licenses required
  • 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
  • Use effective oral and written communication skills sufficient enough to interact effectively with and guide financial advisors and their staff on various operational issues
  • 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 Raymond James 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:
Paramus, NJ

Status:
Non-exempt

For additional information or to submit a resume, please contact:
Adriana DePalma
Adriana.depalma@stewardpartners.com

Steward Partners Global Advisory, 115 West Century Road, Suite 145, Paramus NJ 07652. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.

WEALTH & PORTFOLIO SPECIALIST

WEALTH & PORTFOLIO SPECIALIST

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 Wealth & Portfolio Specialist is a client facing role responsible for partnering with a Financial Advisor or team of Financial Advisors in independently analyzing portfolio’s and developing solutions and strategies for clients alongside directly maintaining operational and administrative activities for the team. In addition, the Wealth & Portfolio Specialist can solicit business on behalf of the Financial Advisor. The Wealth & Portfolio Specialist has primary duties which include those directly related to management or general business operations, and the exercise of discretion and independent judgment on matters of significance.

Duties and Responsibilities:

Portfolio Research & Design (on behalf of Financial Advisor/Team):

  • Independently trade and rebalance model portfolios
  • Independently develop asset allocation models and strategies along with being responsible for implementation strategy
  • Independently review and develop recommendations for the FA/Team as to the appropriate benchmarks for the current asset allocation
  • Provide and maintain written justification for the changes that we have made to model portfolio
  • Analyze and use discretion to recommend replacements for ETFs, mutual funds and alternative investments
  • Analyze annuity holdings and use discretion to make appropriate changes if necessary, to the underlying positions
  • Build prospect portfolio proposals and create portfolio recommendations
  • Preparing portfolio reviews, participate in client meetings with Financial Advisor to discuss investment strategy options
 

Financial Planning

  • Use Goal Planning & Monitoring (GPM) to analyze the financial situation of clients and prospects in order to identify potential gaps and risks in their current planning strategies, taking into account investment goals and limitations
  • Based on GPM analysis, design and present strategic wealth planning recommendations to clients and prospects on behalf of the Financial Advisor/Team exercising discretion to make updates as necessary
  • Educate clients and prospects on different financial planning investment strategies, guidelines, and regulations
  • Discover potential investment opportunities related to the client’s planning process
 

Client Development & Management

  • Partner with the Advisor in developing business plans and marketing strategies including the independently identifying and targeting prospective clients and/or creating or planning the content of seminars
  • Establishes and cultivates relationships with new clients and proactively helps to resolve issues using independent judgment to determine the appropriate actions/resolutions required
  • Uses discretion to determine the appropriate products and services to provide guidance on to clients
  • Provides clients with market and stock research assistance
  • Independently develops, implements and communicates new team procedures, products and portfolio enhancements to clients
  • Cultivates and develops relationships with Raymond James teams and departments
  • Perform administrative duties that guide and assist Financial Advisors in daily business practices, including direct business operational functions which include but are not limited to, telephone coverage, business travel arrangements, coordination of client meetings and file & calendar maintenance
 

SKILLS, EXPERIENCE, & QUALIFICATIONS

  • Active Series 7, 63 and 65 or Series 7 and 66
  • Bachelor’s Degree in Business or in related field is preferred
  • Minimum of 5 years work experience in a field relevant to the position required
  • If required, maintain CFP or CFA designation
  • Additional product licenses may be required
  • Effective written and verbal communications skills
  • Excellent analytical, critical thinking, and organizational skills
  • Team player with the ability to collaborate with others
  • Knowledge of applicable compliance rules and regulations and firm policies
  • Highly detail-oriented with superior organizational skills and ability to prioritize tasks
  • Strong presentation skills, including ability to create polished PowerPoint presentations
  • Independent self-starter who can manage multiple activities to defined deadlines
  • Highly skilled in Microsoft Excel, PowerPoint, and Word

Location:
Paramus, NJ

Status:
Non-exempt

For additional information or to submit a resume, please contact:
Adriana DePalma
Adriana.depalma@stewardpartners.com

Steward Partners Global Advisory, 115 West Century Road, Suite 145, Paramus NJ 07652. Steward Partners Global Advisory, LLC maintains a separate professional business relationship with and our registered principals offer securities offered through Raymond James Financial Services, Inc. Member FINRA/SIPC. Investment advisory services are offered through Steward Partners Investment Advisory, LLC.