Apply on Employer Site

Steward Partners · 1 day ago

Market Business Director

Lake Oswego, OR

Full-time

Onsite

Senior Level, Lead/Staff

10+ years exp

Steward Partners is an employee-owned, full-service leading independent private financial services firm that provides multifaceted financial solutions. The Market Business Director plays a crucial role in operational leadership and problem-solving across Market branch locations, focusing on compliance management, transition coordination, and employee development.

AdviceAsset ManagementBankingConsultingDelivery ServiceFinancial Services

Responsibilities

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

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

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

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

Qualification

FINRA Series 7FINRA Series 9FINRA Series 10Wealth Management experienceOperations managementLeadership abilityJudgementTeam empowermentInnovation recognitionWritten communicationVerbal communicationProblem solvingConflict resolutionOrganizational skills