Market Business Director
Steward Partners · Washington, District of Columbia, United States
FULL TIMEpermanent
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.
The information below covers the role requirements, expected candidate experience, and accompanying qualifications.
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 signoffsEscalate complex risk and compliance items promptly and ensure timely resolutionRespond timely to compliance and/or operational inquiries from Advisors, CAMs, and Home OfficePrepare for and participate in branch audits, partnering with Market Supervisory Officers to remediate any audit findingsImplement policy and process updates from Home Office Operations, Supervision and Compliance teamsServe 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 custodiansFacilitate client discovery and due diligence with prospective advisorsCoordinate transition resource planning and ensure appropriate support throughout the transition periodEnsure new Advisors and their teams have proper setup including technology, building access, and onboarding resourcesSupervise 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 plansCoach, train, and develop employees with access to suitable resources, programs, and technologyTrain newly hired partners on Firm systems and proceduresPartner with Head of Market Operations, Market Leader, and Human Resources on employee related escalationsCollaborate 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 cultureOversee office infrastructure projects, new office buildouts, and office relocations in partnership with Market Leadership and Procurement DirectorDevelop and maintain relationships with property management and vendorsProvide operational guidance and support to Advisors, escalating to the Market Leader as appropriateBuild effective teams through availability, xzbcwsv responsiveness, timely communication, and regular meetingsParticipate in Firm initiatives, projects, committees, and working groups to enhance procedures and efficiencies
Skills, Experience & Qualifications:Bachelor’s degree or equivalent education or experience required10+ years of financial services experience in Wealth Management and related productsActive FINRA Series 7, 9, & 10 (or equivalent) requiredActive FINRA Series 66 (or 63 & 65) preferredLife & Health Insurance license is a plusOperations management experience, particularly in risk/control disciplinesDemonstrated leadership ability and previous supervisory experienceExcellent written and verbal communication skillsComplex problem solving and conflict resolution skillsHighly organized with exceptional judgement to resolve issues and escalate appropriatelyProven track record building rapport and trust with stakeholders and internal clientsExperience prioritizing, delegating, and training to empower teamsAbility to recognize opportunities for innovation through technology and process optimization
Reports To: Head of Market Operations
The information below covers the role requirements, expected candidate experience, and accompanying qualifications.
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 signoffsEscalate complex risk and compliance items promptly and ensure timely resolutionRespond timely to compliance and/or operational inquiries from Advisors, CAMs, and Home OfficePrepare for and participate in branch audits, partnering with Market Supervisory Officers to remediate any audit findingsImplement policy and process updates from Home Office Operations, Supervision and Compliance teamsServe 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 custodiansFacilitate client discovery and due diligence with prospective advisorsCoordinate transition resource planning and ensure appropriate support throughout the transition periodEnsure new Advisors and their teams have proper setup including technology, building access, and onboarding resourcesSupervise 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 plansCoach, train, and develop employees with access to suitable resources, programs, and technologyTrain newly hired partners on Firm systems and proceduresPartner with Head of Market Operations, Market Leader, and Human Resources on employee related escalationsCollaborate 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 cultureOversee office infrastructure projects, new office buildouts, and office relocations in partnership with Market Leadership and Procurement DirectorDevelop and maintain relationships with property management and vendorsProvide operational guidance and support to Advisors, escalating to the Market Leader as appropriateBuild effective teams through availability, xzbcwsv responsiveness, timely communication, and regular meetingsParticipate in Firm initiatives, projects, committees, and working groups to enhance procedures and efficiencies
Skills, Experience & Qualifications:Bachelor’s degree or equivalent education or experience required10+ years of financial services experience in Wealth Management and related productsActive FINRA Series 7, 9, & 10 (or equivalent) requiredActive FINRA Series 66 (or 63 & 65) preferredLife & Health Insurance license is a plusOperations management experience, particularly in risk/control disciplinesDemonstrated leadership ability and previous supervisory experienceExcellent written and verbal communication skillsComplex problem solving and conflict resolution skillsHighly organized with exceptional judgement to resolve issues and escalate appropriatelyProven track record building rapport and trust with stakeholders and internal clientsExperience prioritizing, delegating, and training to empower teamsAbility to recognize opportunities for innovation through technology and process optimization
Reports To: Head of Market Operations
Details
| Company | Steward Partners |
| Location | Washington, District of Columbia, United States |
| Type | FULL TIME |
| Niche | finance |
| Experience | permanent |