A Best-Of-All-Worlds Model

Careers at Steward Partners

Full-Service Independence with
Equity Upside

Location: Boston, MA

Financial Advisor

Joining an existing Steward Partners Financial Advisor team, the Financial Advisor will play a key role in driving business development, asset acquisition, and revenue growth. Supporting business development, the Financial Advisor will leverage their network, knowledge, and experience to build new client relationships and identify new business opportunities. This individual will be responsible for developing customized financial plans, advising clients on tax and investment strategies, and ensuring that clients’ financial strategies align with their long-term goals.

Location: Portland, OR

Operations Specialist

The Operations Specialist is responsible for overseeing daily workflows, approving new accounts, and managing money movement. Reporting to the Operations Principal, this role also focuses on identifying process improvements and supporting the centralization of operational functions.

Location: Pinckneyville, IL

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.

Location: Remote

Senior Supervisory Analyst

The Senior Supervision Analyst works within a centralized supervision model at Steward Partners which is responsible for oversight of the sales practices and branch personnel and other registered and non-registered locations throughout the Firm This position will partner with the Compliance Department to implement supervisory processes and procedures that mitigate risk and ensures adherence to the rules, regulations, and policies relating to the business of the Firm. Supervision monitors operational readiness for audits, conducts targeted reviews, performs controls testing and provides support for operational risk items.

Location: Flexible across Steward Partners network of offices in the Southeast Division, must be able to travel regularly to branch office locations, to Firm meetings and other events.

Divisional President — Southeast

The primary focus of the role is to establish and build a presence for Steward Partners 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.

Location: Near Hamptons Roads, Virginia

Divisional Business Coordinator

The primary role of the Divisional Business Coordinator is to provide comprehensive administrative support to the Division. This includes managing projects and supporting advisor transitions, event planning, and providing divisional support. The role requires a highly organized individual with exceptional attention to detail, a strong sense of urgency, and the ability to effectively multitask in a growing team environment. The individual must build strong relationships, be proactive, and thrive in a fast-paced, constantly changing environment.

Location: Tri State Area - Hybrid

Financial Reporting & Technical GAAP Accountant

The Financial Reporting & Technical GAAP Accountant will use their accounting knowledge and technical skills to assist the firm with respect to the interpretation of complex accounting rules and standards, accounting for complex business transactions, including acquisitions and business combinations, and the management and oversight of all revenue recognition, lease accounting, and equity-related accounting matters. The role requires a deep understanding of US GAAP accounting principles and disclosure matters and the ability to effectively communicate complex concepts to various stakeholders, including our external auditors.

Location: Boston, MA

Company Overview:

Steward Partners Global Advisory is an employee-owned, full-service partnership, catering to family, institutional, and multigenerational investors. Our financial advisors deliver comprehensive wealth planning and investment strategy implementation, professional asset services, private banking, institutional consulting, international advisory, and business solutions. We pride ourselves on delivering bespoke service with an unwavering commitment to excellence.

Position Overview:

Duties and Responsibilities:

Engage with clients to gather essential information regarding their expenses, income, insurance coverage, financial objectives, tax status, and risk tolerance to develop personalized financial plans.
Conduct market research and analysis to recommend strategies aligned with clients’ financial goals and objectives.
Provide expert advice on financial plans and strategies, addressing client inquiries and concerns.
Develop and implement customized financial strategies to optimize client portfolios, focusing on high-net-worth individuals.
Regularly review and analyze client accounts and financial plans to adapt to life changes, economic shifts, or performance metrics.
Prepare financial summaries, investment performance reports, and income projections for clients.
Implement financial plans or refer clients to relevant professionals when necessary.
Manage and update client portfolios while ensuring proactive communication to identify changes in their financial situations.
Build and maintain a strong client base through exceptional service and relationship management.
Continuously seek new business opportunities, particularly within the C-Suite Executive and Business Owner/Entrepreneur markets.
Adhere to all relevant regulatory regulations and requirements.

Skills, Experience & Qualifications:

Bachelor’s degree in business, finance, or a related field.
FINRA Series 7 and 63 Securities Registration (Series 66 or 65 preferred)
Life and health insurance licenses.
Knowledge of mutual funds, securities, and the insurance industry.
Minimum of 3 years of experience in financial services.
Ability to work independently and in a goal-oriented environment.
Experience in delivering quality client service and building strong client relationships.

Location: Boston, Massachusetts or ability to travel to the Boston office as needed.

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

Client Administrative Manager

Location: Pinckneyville, IL

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:

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.

Status: Non-Exempt

Location: Pinckneyville, IL

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

Divisional Business Coordinator

Location: Near Hamptons Roads, Virginia

Company Overview:

Position Overview:

Duties and Responsibilities:

Project and Transition Management:

Collaborate with the Division and Transitions team to support advisor transitions, tracking progress and identifying pending next steps.
Establish and manage a process for new advisor onboarding communications.
Ensure advisor teams are equipped with all necessary resources and information, identify any gaps, and take proactive steps to address them.
Track and organize divisional projects, such as retirements and client reallocations, ensuring timely completion and communication.
Collaborate with the Marketing team on various items including client communication and Advisor social media support.

Event Planning and Coordination:

Plan and coordinate logistics of divisional events, including retirements, new hire events, and branch events and initiatives.
Organize divisional calls and meetings by sending invitations, tracking attendance, and managing follow-up actions.
Organize and coordinate meetings with potential advisors regarding logistics, travel arrangements, agendas, and communications.

Administrative and Divisional Support:

Perform administrative functions for the Divisional Leadership Team, including telephone coverage and business travel arrangements.
Prepare and submit T&E reports to ensure compliance with relevant policies.
Manage calendars and oversee the scheduling of Divisional Leadership office visits.
Provide operational support to branches, including supply orders, facilities management, and coordination of technology.
Provide administrative support for HR processes such as Form I-9 processing and new hire and termination notifications.
Manage highly sensitive information related to the firm and staff.
Coordinate and complete special projects as assigned.
Build strong relationships and act as a liaison with potential advisors, key custodian partners, and internal firm resources.

Skills, Experience & Qualifications:

Bachelor’s degree in business administration, or other related field preferred.
Highly organized individual with strong attention to detail, a sense of urgency, and the ability to multitask.
Wealth management experience preferred.
Advanced skills in Microsoft Office (Word, Excel, Outlook, and PowerPoint).
Ability to handle confidential materials in a professional manner.
Flexible approach with a willingness to take on new projects.
Highly service-oriented individual with the ability to work well both independently and as part of a team.
Financial services experience strongly preferred.
Excellent written, verbal, and interpersonal communication skills
Experience with event planning is a plus

Status: Non-Exempt

Location: Near Hamptons Roads Virginia, based out of one the Firm’s offices.

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

Financial Reporting & Technical GAAP Accountant

Location: Tri State Area - Hybrid

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 clients and their families.

Steward Partners Global Advisory caters to family, institutional, and multigenerational investors. We deliver 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:

Duties and Responsibilities:

Proactively analyze new and proposed accounting standards to determine the impact on the firm and assist in assessing and implementing new accounting standards as required.
Research technical accounting guidance and prepare/update accounting memos as needed.
Stay current on changes to accounting standards and regulatory requirements and assist with developing accounting policies and procedures as needed.
Assist with preparing the financial statements for internal and external purposes, including detailed financial reports.
Support financial audits by preparing audit requests, compiling technical accounting assessments, preparing disclosures, and maintaining audit tracker reports.
Create, maintain, and update accounting policies & procedures to ensure compliance with applicable PCAOB and GAAP disclosure requirements.
Perform business combination accounting, allocation of purchase price analysis, and valuation analysis of identifiable intangible assets, including working with and checking the work performed by valuation specialists, to ensure amounts are recorded and presented in accordance with US GAAP and firm policies.
Prepare journal entries with sufficient supporting documentation to substantiate the entries and ensure purchase price allocation is appropriately allocated for M&A transactions.
Track and maintain the equity issued by the firm in a third-party application for all issuances, terminations, and buybacks.
Amortization entries associated with the issuance of profit interests, capital interests, and all other classes of legal equity that the firm issued.
Work cross-functionally across the business to foresee potential accounting issues and recommend practical solutions for contemplated business transactions.

Skills, Experience & Qualifications:

Bachelor’s degree with a major in accounting
CPA required
5+ years of public accounting or public/private experience
3+ years of relevant technical GAAP and PCAOB accounting experience
Has experience with direct integration after M&A, is Entrepreneurial minded and wants to be part of the growth of a fast-growing platform
Ability to understand, analyze, and summarize complex financial data in a clear, concise manner
Ability to determine the business impact of accounting guidance and translate it into operational and reporting outcomes
Hands-on orientation with the ability to work through others and juggle priorities and project management efforts across an organization.
Excellent communication and interpersonal skills, building and maintaining relationships with internal and external stakeholders.
High level of integrity, confidentiality, accountability, and interpersonal skills.
Strong intellectual horsepower and a fact-based approach to analyzing business problems and opportunities.

Status: Exempt

Reports To: Controller

Location:
Flexible, with a preference for New York or the tri-state area, but can be a remote or hybrid position.

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

Manager Data Management

Location: Florham Park, NJ

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 Data Management Manager will be responsible for overseeing the management, organization, and governance of data within an organization. This position will play a critical role in ensuring the accuracy, integrity, security, and accessibility of data assets, and will collaborate with various teams to support data-driven decision-making and operational efficiency.

Duties and Responsibilities:

Data Management Strategy and Governance:
- Develop and implement data management strategies, policies, and procedures to ensure consistent and efficient handling of technical data.
- Establish data governance frameworks, including data standards, data quality measures, and data lifecycle management.
- Define data stewardship roles and responsibilities and foster a culture of data ownership and accountability.

Data Acquisition and Integration:
- Collaborate with data providers, subject matter experts, and IT teams to identify, acquire, and integrate data from various internal and external sources.
- Ensure data compatibility, consistency, and accuracy through data validation and data cleansing activities.
- Work closely with data engineers to design and implement efficient data pipelines and workflows for data acquisition and ingestion.

Data Quality Assurance:
- Establish data quality standards and implement data quality checks and controls to maintain the integrity and reliability of technical data.
- Develop and execute data quality improvement initiatives, including data profiling, anomaly detection, and root cause analysis.
- Monitor data quality metrics and provide regular reports to stakeholders, highlighting areas for improvement and remediation.

Data Storage and Infrastructure:
- Collaborate with IT teams to design and maintain scalable and secure data storage infrastructure, including databases, data warehouses, and data lakes.
- Ensure appropriate data backup, retention, and disaster recovery mechanisms are in place.
- Optimize data storage and retrieval processes to meet performance requirements and facilitate data accessibility.

Data Security and Privacy:
- Implement data security measures to protect technical data assets from unauthorized access, data breaches, and cyber threats.
- Ensure compliance with data privacy regulations and industry best practices for handling sensitive and personally identifiable information.
- Collaborate with legal and compliance teams to define data usage policies and manage data access controls.

Data Documentation and Metadata Management:
- Establish and maintain a comprehensive data dictionary and metadata repository for technical data assets.
- Document data lineage, data transformations, and data dependencies to facilitate data understanding and traceability.
- Promote metadata management practices and tools to enhance data discoverability and usability.

Data Collaboration and Support:
- Collaborate with cross-functional teams, including data analysts, data scientists, and business stakeholders, to understand data requirements and support their data-related initiatives.
- Provide technical guidance and support to teams working with technical data, including data modeling, data analysis, and data visualization.
- Facilitate data sharing and collaboration by establishing data sharing platforms and promoting data-driven culture and knowledge sharing.

Continuous Improvement and Innovation:
- Stay updated with the latest trends, technologies, and best practices in data management and data governance.
- Identify opportunities for process improvements, automation, and innovation to enhance data management capabilities and operational efficiency.
- Actively participate in data management communities and professional networks to exchange knowledge and stay informed about industry developments.

Skills, Experience & Qualifications:

Bachelor's degree in a relevant field (e.g., Computer Science, Information Management, Data Science).
Proven experience in data management, data governance, or a related role.
Strong understanding of data management principles, including data quality, data governance, and data integration.
Familiarity with technical data domains, such as engineering data, scientific data, or technical specifications.
Proficiency in database management systems (e.g., SQL, NoSQL) and data integration tools.

Reports To:
Head of Data

Location:
Hybrid – Florham Park, NJ

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

Corporate Counsel

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

Company Overview:

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

Divisional President — Southeast

Flexible across Steward Partners network of offices in the Southeast Division, must be able to travel regularly to branch office locations, to Firm meetings and other events.

Company Overview:

Position Overview:

Duties and Responsibilities:

Recruiting & Transition Leadership:

Full accountability for the recruiting, onboarding and transition process and experience for Advisors and their teams and adherence to the Steward Partners recruiting and transition process
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
Engage risk partners to review and approve any complex arrangements
Conduct platform overview and pre-hire scrubs, obtain any requested information and approvals from Recruit and/or custodial partners
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
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

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 custodial 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 internal partners to ensure firm resources and relationships are positioned to support growth
Maintain a 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
Review and approve Advisor expenses in line with Firm expense policy

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 by cascading relevant information on a timely basis and conducting regular meetings, at least weekly to communicate strategy, common business practices, goals and objectives
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 handling escalated, sensitive or complex issue directly with Advisors leveraging Risk partners as appropriate
Responsible for effectively communicating the status of performance and issues within the Division

Other:

Other projects may be added as deemed necessary by management

Reports to:
Head of Wealth Management

Direct reports:

Financial Advisors
Divisional Leadership Team, including; Divisional Vice President, Divisional Business Director and Divisional Administrative Assistant

Location:
Flexible across Steward Partners network of offices in the Southeast Division, must be able to travel regularly to branch office locations, to Firm meetings and other events.

For additional information or to submit a resume, please contact:
Theresa Rinaldi
theresa.rinaldi@stewardpartners.com

Senior Supervision 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 clients 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 wide-ranging client service with an unwavering commitment to excellence.

Position Overview:

Responsibilities:

Review securities transactions on the electronic trade blotter including but not limited to equities, fixed income, mutual funds, UITs, municipal securities, options and 529 transactions; analyze transaction activity to identify potential sales practice concerns and respond accordingly to any matters requiring further attention.
Address account-level suitability alerts for brokerage and advisory accounts
Identify matters that need to be escalated to the Divisional Supervisory Officer
Run reports and collect data in response to regulatory inquiries; as determined by the Compliance department
Coordinate with Supervision leadership in preparing ongoing data/metrics reporting
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 Supervision Management
Maintain books and records and ensure proper documentation and notes are on file
Identify, investigate, and facilitate resolution of client complaints; in conjunction with the Compliance Department
Maintain a strong level of knowledge on industry trends and areas of focus to ensure appropriate supervisory practices are in place
Contribute to projects that upgrade/implement new regulatory related systems in addition to special projects as needed
Maintain the evolution and enhancement of supervisory policies, and procedures, and systems in collaboration with input and feedback to Operations and Compliance departments

Skills, Experience & Qualifications:

1-3 years’ experience in the financial services industry
Bachelor’s degree or equivalent work experience
Series 7 and 24 (or 9/10), Series 53 & 4 a plus.
Series 63 & 65 or 66 (or ability to obtain within 6 months)
Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, banking products and capital markets
Ability to use independent judgement to address matters requiring attention
Strong ability to execute on assigned tasks/responsibilities
Ability to work in a fast-paced environment
Strong written and verbal communications skills
Independent self-starter who can manage multiple activities to defined deadlines in a team setting
Analytical, critical thinking, and organizational skills with ability to exercise good judgment
Proficient with Microsoft Excel, PowerPoint, and Word, Project and SharePoint

Status:
Exempt

Location:
Remote

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

Steward Partners, LLC | Comprehensive Financial Solutions for Advisors and Clients

Address:

Phone:

E-mail:

A Best-Of-All-Worlds Model

Financial Advisor

Operations Specialist

Client Administrative Manager

Senior Supervisory Analyst

Divisional President — Southeast

Divisional Business Coordinator

Financial Reporting & Technical GAAP Accountant