Steward Partners · 17 hours ago
Branch Examiner
United States
Full-time
Remote
Entry, Mid Level
2+ years expSteward Partners Global Advisory is an independent private financial services firm that provides comprehensive financial solutions. The Branch Examiner will be responsible for conducting onsite and remote inspections, providing training on firm policies, and preparing detailed reports on findings and trends across the organization.
AdviceAsset ManagementBankingConsultingDelivery ServiceFinancial Services
Responsibilities
Conduct approximately 30-50 branch exams per year, either onsite or remotely
Travel independently up to 25-50% of the time to branch locations
Provide training and education on firm policies and procedures to branch personnel
Schedule exams by working with onsite branch personnel and remote supervision staff
Prepare for exams by generating and reviewing various reports
Create and distribute an exam findings summary
Prepare detailed reports documenting findings, investigation results, and remediation steps
Analyze and identify patterns of findings trending across the organization
Collaborate across appropriate business units to address findings and implement solutions
Support investigations of suspected misconduct, policy violations, or regulatory breaches
Design and execute internal tests in accordance with FINRA rule 3120, 206(4)-7 of the Advisors Act of 1940 and other testing initiatives
Support functions of the surveillance team including preparation and review of exception reports on an as needed basis
All other duties as assigned
Qualification
Required
2+ years of related experience in Financial Services, preferably within Wealth Management, and involvement in Audit or Compliance functions
Bachelor's degree or equivalent work experience
Active FINRA Series 7, 9/10 or Series 24 licenses
Familiarity with broker-dealer and investment adviser operations, including trading, portfolio management, and client servicing
Knowledge of products and markets, particularly retail brokerage, investment advisory programs, trade support, Insurance Products, banking products, and capital markets
Ability to manage the execution of a wide range of tasks and initiatives with minimal direct supervision
Precision in reviewing transactions, communications, and records for potential violations or discrepancies
Strong written and verbal communication skills. Including the ability to document findings clearly and thoroughly
Independent self-starter who can manage multiple activities to defined deadlines in a team setting
Excellent analytical, critical thinking, and organizational skills with the ability to exercise good judgment
Ability to analyze large sets of data to identify irregularities or trends indicating potential compliance issues
Proficient in data analysis tools as well as Microsoft Excel, PowerPoint, Word, SharePoint, and other MS Office Suite applications
Company
Steward Partners
Steward Partners is an employee-owned, full-service partnership catering to family, institutional, and multigenerational investors.
501-1000 employees
Funding
Current Stage
Late StageTotal Funding
$619.87MKey Investors
Ares ManagementApogem CapitalThe Cynosure Group
2025-12-19Private Equity· $475M
2025-12-19Debt Financing
2022-11-08Debt Financing· $140M
Leadership Team
Hy Saporta
President and Chief Operating Officer, Co-Founder
Jeani Winterbourne
Deputy Chief Operating Officer, Partner
Recent News
GlobalFinTechSeries
2026-01-03
Company data provided by crunchbase