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 client’s and their families.Steward Partners Global Advisory caters to family, institutional and multi-generational 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.

The Regulatory Examinations and Inquiries team is primarily responsible for responding to a broad range of regulatory examinations and other inquires from regulatory bodies such as the SEC, FINRA and state securities divisions, sweep requests and other inquiries. As Senior Regulatory Analyst I work independently in gathering information and developing responses to regulatory requests. Responsibilities include investigating, drafting, and submitting responses to regulatory agencies and interfacing directly with regulators, all levels of home office staff and financial advisors.

Responsible for the initial diligence and ongoing oversight of approved alternativeinvestment managers available for use by LPL Financial advisors. Specific focus on private equity funds and other related products.

Member of the Regulatory Enforcement group within the Legal Department. Responsible for investigating, drafting, coordinating and filing response to inquiries received from regulators. - Respond to regulatory inquiries. This involves effectively communicating with various departments at the firm to collect the necessary information, analyzing the information thoroughly, researching relevant rules and regulations, and preparing the written response.- Serve as liaison for branch exams conducted by regulators.- Assist financial advisers with regulatory exams, and provide regulators with requested information.- Serve as a liaison for FINRA and SEC exams.- Assist firm employees in preparing for the exam, and support them throughout the exam process.- Collect, analyze, and provide documents requested by the regulators.- Keep the regulatory team informed of issues that impact the organization, and advise on appropriate resolutions.

Responsible for supervising sales activities in Complex Products as defined by FINRA Regulatory Notice 12-03 for clients of OSJ Branch Managers. Provide secondary oversight for transactions in complex products for clients of advisors supervised by field OSJs to ensure sufficient supervision has been conducted. - Perform daily and periodic supervision of trading in Alternative Investments, Structured Products and Leveraged / Inverse / Volatility Exchange Traded Products. Provide secondary oversight of supervision conducted by field OSJs in these areas.- Communicate / work with Designated Principals and Supervisory Principals to identify broader sales practice issues.- Serve as a subject matter expert for advisors, OSJs, peers and other members of Governance, Risk and Compliance in the area of complex products.- Act as key contact for internal departments, such as Operations, Service Center, Legal and various departments across Governance, Risk and Compliance (GRC).- Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.- Provide expert insight into the complex workings of Alternative Investments, Structured Products and Exchange Traded Products.

- Key responsibilities are focused on managing and developing a thorough understanding of client base. Client base portfolio consists of over $1.4 billion in investable assets.- Develop investment strategies suitable to client’s objective, time horizon, and risk tolerance. - Perform investment management tasks such as trading, tax loss harvesting, asset allocation analysis, and portfolio review. - Provide guidance and advice based on client need. Assist with implementation of financial plans.- Demonstrate strong interpersonal relationship building, verbal and written communication skills while dealing with the firms most valued clients.- Effective organization, planning, analytical skills and follow through are critical components to the daily management of relationships with both internal and external client.

- Key responsibilities center on analyzing company financial and operational strengths and weaknesses including leverage, key risk factors, source of repayment, cash flow, and ability to service debt to adequately assess the credit risk and underwrite the action.- Manage loan portfolio and develop new business by actively pursuing new individual and business customers achieved by fostering relationships with existing clients, and becoming a visible, involved member of the community.- Building and managing strong relationships with customers and business contacts. - Assure sound loans are booked with appropriate pricing and loan fees based on risk, terms and servicing costs. - Service loans in portfolio to retain high level of credit quality. Monitor delinquent reports and counsel with customers to bring accounts current. Maintain a sales database to establish an ongoing sales and prospecting plan.

- Duties central to this role include enhancing the quality of customer service rendered to clients contacting the investment center and ensuring compliance with both internal and industry-wide trading rules and regulations.- Responsible for monitoring 45 to 50 brokerage associates per month across three different investment centers. - Coaching responsibilities include providing guidance to over 50 associates through personal coaching sessions and serving as a subject matter expert on matters relating to compliance, policies, and procedures. - This position involves frequent verbal and written interaction with internal staff, and management, as well as constant engagement and collaboration with offsite team members.

- Arrange for the purchase or sale of stocks, options, bonds, mutual funds, and other securities on behalf of clients. - Convey information concerning the execution of trades, settlement information, day trading buying power, margin requirements, house call balances, etc; to facilitate client’s decisions when managing their investment portfolios. - Demonstrate mastery of trading rules and regulations governing the securities industry and effectively communicate pertinent market news and analysis of market conditions to client base. - Serve as the primary point of contact for all Spanish speaking clients doing business with the firm.

- Responsibilities essentially consist of identifying technical issues related to the MarketCaster, MarketTrader, and Power E*Trade Pro trading platforms, the brokerage website, and RSA SecurID access issues. - Troubleshoot issues with modems, routers, and firewalls. Deliver support for Windows, Linux, Mac OS X and Java application corruption / updates. - Provide clients with assistance configuring browser settings on IE, Firefox, Opera, and Safari to optimize performance of trading platforms on their network. Identify software bugs, server outages, or platform performance issues, develop appropriate workarounds and report findings to development group. - Engage in research of advanced technical issues and ensure follow-up with supervisors, developers, system operations and product managers while seeing the customer through to a final resolution.

- Conduct research, interviews and investigations for open cases involving delinquent tax payments. - Analyze financial statements, and contact third parties for information gathering. - Collect delinquent taxpayer accounts, balance dues, secure delinquent returns, and take administrative and judicial actions against violations when required. - Supplementary duties also consist of conducting preliminary analysis of cases, scheduling appointments, consulting with team managers, preparing administrative reports, and assembling for case closures.- Extensive fieldwork performed while in this role.

- Review and analyze Department of Defense / Department of the Navy financial policies as they relate to NAVSEA and assist in the implementation of such policies. - Examine financial documents and summary records to determine proper application of Department of the Navy regulatory requirements. - Consolidate information pertinent to the review of records or conditions and the findings using prescribed formats.- Follow detailed instructions as to the techniques and practices of financial management, and operations in the Department of the Navy. Review budget submissions from NAVSEA program executive offices.