The Strategic Financial Alliance is a new generation financial services organization that goes far beyond traditional broker-dealer, RIA, and insurance transactions to provide a strategic, open, and professional, business development platform for independent advisors and their clients. Our platform enables our advisors to offer clients a comprehensive planning approach to their entire financial lives – and one that can be most effective in helping them seek to protect, preserve, accumulate, and transfer wealth.
Our parent company, SFA Holdings, Inc., is currently seeking career professionals for opportunities in the following area:
Vice President, Due Diligence
Reporting directly to the Senior Vice President and participating as a member of the Organization’s leadership team, the Vice President of Due Diligence shall be responsible for directing and overseeing the due diligence process for new, direct participation products including alternative investments and asset management. This position will work with sponsors in the development, cultivation and implementation of both public and private offerings, prepare written reports, attend regular industry meetings and reviews of SEC filings and updates, collaborate with the Investment Committee to establish risk profiles of investments for the firm and manage the due diligence staff and third-party consultants along with the day-to-day, on-going research on open and closed products and programs to ensure programs meet projected deliverables.
Position requires a Bachelor’s degree, five to seven years’ extensive industry-related, proven and demonstrated experience, and a Series 24 license.
Senior Manager, Information Systems and Technology
The Manager of Information Systems and Technology will report to the Senior Vice President and will function as a member of the Organization’s leadership team. The Senior Manager of IS & Technology will be responsible for developing and implementing all IS and Technology programs for the home office and field including the safeguarding of assets and cybersecurity, upgrading and integration of new applications, contract management, departmental planning and budgeting; as well as developing policy and technical documentation. Position requires a Bachelor’s degree and relevant certifications required in computer-related disciplines, five to seven years proven and demonstrated successful job-related technical experience, strong leadership skills and business acumen required. Prior broker-dealer experience and familiarity with M&O, Pershing’s NetX360, and other industry related platforms preferred.
Help Desk Support, Information Systems and Technology
The Help Desk Support for Information Systems and Technology will serve as a primary contact for general technical training, support and maintenance for all registered representatives and home office personnel for the brokerage and RIA technology platforms, including but not limited to document imaging/workflow, email and system applications as well as resolving the day-to-day inquires and problem resolution. Position requires one to two years’ experience in a hands-on, help desk support environment with exceptional communication and customer service skills and the ability to analyze, resolve and respond to all technical issues with a sense of urgency to eliminate and/or reduce work-flow disruptions. Technical degree and/or certifications required, familiarity with broker-dealer industry-related platforms and software including Salesforce CRM preferred.
Sr. Manager, Operations
Reporting directly to the Vice President of Operations, the Sr. Manager of Operations shall be responsible for all operations functions within the Company’s broker-dealer including the collaboration with the management team to develop and implement plans for the infrastructure of systems, processes, and personnel designed to accommodate rapid expansion and growth. This position will also serve as a lead point of contact for the field advisors and representatives, supporting our mission to provide a high-touch, personalized relationship with each of our advisors.
Position requires a Bachelor’s degree, five to seven years’ industry-related, proven and demonstrated experience, and Series 7 and 24 licenses.
Supervising Principal 1
Reporting directly to the Vice President and Chief Supervisory Officer, the Supervising Principal 1 shall be responsible for assisting the Chef Supervisory Officer and the Supervisory Manager in the supervision and oversight of all advisor branch offices that report to the broker-dealer to include advisor email and correspondence review, preparation for branch office exams, reviews of quarterly transactions and annual holdings and daily Pershing Trade Blotters.
Position requires a Series 7 license, a Series 24 or the ability to obtain within six months of hire, previous familiarity and/or financial experience required, and a desire for a career track towards a home office supervisor (OSJ) position.
Reporting directly to the Vice President of Advisor Relations, the Advisor Transitions position shall be responsible for leading the onboarding process for new or existing SFA Advisors joining existing institutions or OSJ offices. This position will develop and enhance the procedures and processes of all functions of advisor transitions including advisor relationships, customization of project planning, training materials, reporting and tracking, communications and presentations and ensure business in all areas, brokerage, advisory, fixed and variable insurance is completed to the advisor’s satisfaction.
Position requires a Bachelor’s degree or equivalent industry experience, minimum of five plus years’ brokerage and RIA industry-related, proven and demonstrated experience. Series 24 license preferred or a Series 7 license with the ability to obtain a Series 24 within six months of hire. Salesforce CRM experience preferred.
SFA offers a competitive benefits and compensation package consisting of medical, dental, vision, Section 125 flexible spending account, disability, life insurance, matching 401 (k) retirement plan, stock options, discretionary annual bonus potential, as well as vacation, sick, and holiday time-off provisions.
If you are an experienced and qualified financial services professional who possesses high standards, dedication, commitment, and a passion for teamwork and success, please email cover letter and resume to the attention of Human Resources at email@example.com and reference the name of the position applying for in the Subject line of the email.