Career Opportunities

Join Our Team

SFA Partners is a financial services organization that goes beyond traditional broker-dealer, Registered Investment Advisor, and insurance agency 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 – helping clients protect, preserve, accumulate, and transfer wealth.

We are currently seeking career professionals for opportunities in the following areas:

Director of Operations

Position Summary

The Director of Operations is responsible to lead our broker-dealer and advisory operations teams with a passion for serving the advisors and their clients while seeking to enhance the efficiencies and services of the department, develop and train personnel, and support new and existing business.

Essential Functions

  1. Manage Broker Dealer/Advisory Operations including:
    • Account Opening
    • Quality processing of transactions
    • Problem Resolution
    • Customer Service
    • Custodial Relationships (Pershing/Fidelity/Schwab)
  2. Vendor/Partner Management
    • Point person responsible for ensuring the fullest utilization of technologies employed within the Operations department
    • Create and implement “best practices” through working directly with the vendors
    • Facilitate Ongoing training (internal or provided by vendor) on technology updates/enhancements
    • Identify and implement new technologies that will serve the Operations department
  3. Assist Transition Manager with the Onboarding of new Advisors
    • Account Opening
    • ACAT’s
    • The addition of all new clients and advisors to designated back office/commission and fee paying systems
    • B/D Changes for direct mutual fund and insurance accounts
    • Monitoring the success of the account movement
  4. Understand Advisor Compensation Functions/Process
    • Commissions
    • Advisory Fees

Qualifications

  1. Bachelor's degree
  2. Minimum of 7 years’ experience in financial operations
  3. Minimum of 5 years’ operations management experience
  4. Series 7, 66 (or 63 and 65) and Series 24 (or 9 and 10)
  5. Experience with Pershing as well as any of the following:
    • Schwab
    • Fidelity
    • Albridge
    • Black Diamond and/or other performance reporting systems
    • RedTail or other CRM
  6. Strong management skills, encompassing both personnel and project management
  7. Strong industry acumen, self-starter and the ability to work independently
  8. Strong analytical skills with an ability to identify relevant data plus insights and present in an actionable manner
  9. Excellent written and verbal communication skills

About SFA Partners: SFA Partners provides shared services to a family of companies focused exclusively on empowering independent financial advisors. SFA Partners includes The Strategic Financial Alliance (SFA), member FINRA/SIPC, a broker-dealer and investment adviser; Strategic Blueprint, a registered investment adviser; and SFA Insurance Services. Our wide breadth of services enables us to support a variety of advisor business models.

Parent company, SFA Holdings, Inc. is owned by advisors, employees, and individual investors.

SFA  Holdings, Inc. 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 holiday and PTO time-off provisions.

If you are an experienced and qualified 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 careers@sfapartners.net and reference the name of the position applying for in the Subject line of the email.

Learn more about SFA Partners today!

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