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:
Communications Review Principal
The Communications Review Principal will conduct and manage the review and approval of broker/dealer and investment adviser communication with the public, including retail communications and social medial. This position will maintain logs and monitor compliance as well as develop and facilitate training and education on SFA procedures and guidelines related to communications with the public, email review of home office supervised advisors, third-party material review, and the review, approval and tracking of Financial Advisor participation in vendor sponsored due diligence trips and cash/non-cash compensation.
Position requires five years’ experience in Compliance and or broker-dealer marketing, knowledge of FINRA and SEC rules related to communications with the public, previous experience in advertising and social media for both broker-dealers and investment advisers, and a Series 7 and Series 24 licenses required. Excellent written, verbal and grammatical skills required along with proficiency in Microsoft Office Products (Word, Excel, Power Point.) Must be detail-oriented, above average time management skills with the ability to handle a high volume of work projects independently.
Operations Professional-Back Office
Our Financial Services Back Office Operations professionals are the primary contact for client support, handling a variety of requests, problem resolution and other support services for advisors and their administrative staff, processing client transactions through both the Broker- Dealer and with a variety of outside vendors. Key responsibilities include:
- Review and processing of client account information as well as opening new accounts and client transfers.
- Problem research, resolutions as well as processing expedited requests with prompt advisor communication.
- Review and approval of transaction related items within the Pershing system.
- Updating broker-dealer changes internally as well as with external vendors and organizations.
- One to five years' securities and/or broker-dealer experience in the financial services industry required.
- Ability to meet the highest level of service standards in the industry; demonstrating exceptional customer service skills, both verbal and written communications.
- Critical understanding pertaining to the sense of urgency and sensitivity involved in the handling of client accounts and transactions.
- Ability to multi-task, prioritize and meet deadlines.
- Familiarity with imaging system
- Intermediate/advanced proficiency in Microsoft Office
- Prior experience with Pershing platform
- FINRA Series 7 or 99 license preferred or the desire and ability to obtain
- A demonstrated commitment to professional growth and development within the industry.
Practice Management Consultant
The Product Manager is responsible for maintaining high-touch Advisor relationships to understand and determine their current and future product needs while sourcing products with product sponsors to increase the Firm’s offerings to the Advisor’s and ultimately their clients.
- Build excellent communications with all Advisors. Interface on a daily basis with Advisors for new product launches, production concerns, product needs and product ideas.
- Maintain records to support needs of management to access issues with Advisors.
- Review potential product offerings to meet the needs of the Firm and Advisors, make recommendation to put into Due Diligence (DPPs, Asset managers, Money Managers, Private Equity etc.)
- Manage the requests from recruit requests, rep requests, sponsor presentations and many other sources related to these product offerings.
- Develop/maintain relationships with sponsors, to include updates on existing, upcoming products as well as conference/sponsorship opportunities.
- Provide insight into Advisor and Firm culture, communicate status of product reviews, and provide support for education and partnership opportunities.
- Troubleshoot outstanding product issues on behalf of DD department and Advisors with appropriate Sponsor personnel.
- Perform in-depth analysis for asset managers using standard deviation, beta, performance and business model validation.
- Maintain department records of program open, close and pipeline as well as note on conversations for due diligence information.
- Track Advisor’s sales production year over year to spot and document anomalies.
- Review, establish and understand Advisor’s business mix, how products fit into a portfolio.
- Track sponsor production for sales trends, goal setting and trouble spots within the industry.
- Provide product training and resources to Advisors.
- Provide comparison analysis on product types and strategies for Advisors and Investment Committee Team.
- Bachelor’s degree required in Finance or related fields.
- CFA Level 1 or greater and/or CPA required.
- Series 7 & 24 licensing preferred.
- Minimum of five to seven years’ proven and demonstrated experience in cross-selling products to Advisors and the sourcing of new products for Advisors required. Wholesaling experience a plus.
- Industry related knowledge in a wide variety of alternatives and traditional products.
- Exceptional verbal, written and presentation skills (grammar, writing, and editing) in order to interact professionally with individuals both within the firm and outside representatives.
- High level of interpersonal and relationship skills essential to maintain Advisors relations with the ability to handle sensitive, stressful and/or confidential situations with poise, tact and diplomacy.
- Above average ability to be flexible, organize, manage time and set/shift priorities while meeting deadlines required.
- A team player with the ability to cultivate a team spirit within the department as well as maintain interdepartmental positive collaboration.
- Effective problem analysis and resolution skills.
- Ability to interpret, adapt, and apply Organizational guidelines and procedures within the position and the department.
- Proficiency with Microsoft Office Products (Word, Excel, PowerPoint) with advanced Excel required.
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 firstname.lastname@example.org and reference the name of the position applying for in the Subject line of the email.