Job Description

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 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:

The Market Business Director provides operational leadership and complex problem-solving expertise across Market branch locations, focusing on compliance management, transition coordination, employee development, and day-to-day business operations. As a key member of the Market Leadership team, the Market Business Director partners closely with the Market Leader to deliver concierge-level support to Financial Advisors and their teams while maintaining close alignment with Home Office Operations.

Duties and Responsibilities:

Operational Management & Compliance:

Perform daily supervisory responsibilities including correspondence approval, complaint processing, trade error review, marketing review, client callbacks, signature guarantees, and document signoffs
Escalate complex risk and compliance items promptly and ensure timely resolution
Respond timely to compliance and/or operational inquiries from Advisors, CAMs, and Home Office
Prepare for and participate in branch audits, partnering with Market Supervisory Officers to remediate any audit findings
Implement policy and process updates from Home Office Operations, Supervision and Compliance teams
Serve as primary operational resource for Financial Advisors and their teams on procedures, policies, systems, and product support

Transition Management:

Serve as branch point of contact for all transition activities partnering with the Transitions Department and custodians
Facilitate client discovery and due diligence with prospective advisors
Coordinate transition resource planning and ensure appropriate support throughout the transition period
Ensure new Advisors and their teams have proper setup including technology, building access, and onboarding resources
Supervise transition management resources and provide continued oversight through completion of all compliance and operational requirements

Employee Leadership & Development:

Supervise CAMs including vacation approval, career development conversations, performance reviews, and performance improvement plans
Coach, train, and develop employees with access to suitable resources, programs, and technology
Train newly hired partners on Firm systems and procedures
Partner with Head of Market Operations, Market Leader, and Human Resources on employee related escalations
Collaborate with advisor teams and Human Resources on recruiting and onboarding new support team members

Branch Management & Relationships:

Maintain regular branch visitation schedule across assigned branches to ensure visibility and promote Firm culture
Oversee office infrastructure projects, new office buildouts, and office relocations in partnership with Market Leadership and Procurement Director
Develop and maintain relationships with property management and vendors
Provide operational guidance and support to Advisors, escalating to the Market Leader as appropriate
Build effective teams through availability, responsiveness, timely communication, and regular meetings
Participate in Firm initiatives, projects, committees, and working groups to enhance procedures and efficiencies

Skills, Experience & Qualifications:

Bachelor’s degree or equivalent education or experience required
10+ years of financial services experience in Wealth Management and related products
Active FINRA Series 7, 9, & 10 (or equivalent) required
Active FINRA Series 66 (or 63 & 65) preferred
Life & Health Insurance license is a plus
Operations management experience, particularly in risk/control disciplines
Demonstrated leadership ability and previous supervisory experience
Excellent written and verbal communication skills
Complex problem solving and conflict resolution skills
Highly organized with exceptional judgement to resolve issues and escalate appropriately
Proven track record building rapport and trust with stakeholders and internal clients
Experience prioritizing, delegating, and training to empower teams
Ability to recognize opportunities for innovation through technology and process optimization

Reports To:

Head of Market Operations

Steward Partners

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