Career Opportunities

Join Our Team

SFA Partners 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.

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

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 media.  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, PowerPoint.)  Must be detail-oriented, above average time management skills with the ability to handle a high volume of work projects independently.

The Business Development Manager is responsible for supporting the overall recruiting process in sourcing, researching information, and managing a pipeline of prospective advisors looking to join the SFA. The position will entail both recruitment of new advisors/offices, as well as, additions to existing OSJ offices.  Successful candidates will have Bachelor’s degree in Business, Marketing, Finance, Economics or related field. Series 7, 66, or 65 preferred, minimum of 2-4 years’ proven and demonstrated Business Development experience in the financial services industry, both brokerage and RIA models and exceptional customer service skills required.  Familiarity with Salesforce CRM including Leads and Opportunities functionality, Discovery database, familiarity with Pershing’s NetX360 Platform and reports, Mutual Fund, Insurance, and Advisory Business processing preferred.

The Marketing Intern will work directly with the Vice President, Marketing and the Marketing Coordinator to assist with marketing of the company as well as advisors’ businesses as needed. Main responsibilities will include coordinating, building, and deploying key communications to the advisor Field; maintaining and updating company websites – corporate and public-facing; deploying pre-approved social media and blog posts; scheduling and managing company webinars; and working with outside vendors to obtain quotes for marketing efforts. The Marketing Intern will also help to maintain brand integrity in all communication vehicles including forms and documents. Though this position is one of general marketing, including electronic, print, events, and public relations, the financial services industry in which we work is highly specialized and regulated, therefore, the position would be ideal for a student committing to longer than one semester in order to maximize the learning opportunity.

 

Requirements:

Degree concentration in Business, specifically Marketing

Currently enrolled in undergraduate or graduate programs

GPA of 3.25 or higher

Excellent verbal and written communication skills

Ability to edit and possibly write marketing copy is a plus

Ability to multi-task in a fast-paced environment

Intermediate level Microsoft Office skills (Word, Excel, Power Point)

Basic ability to work in WordPress-based websites

The Trade Operations Specialist position will assist advisors and their end customers with trading and investment advisory related activity processed through Pershing. Successful candidates will possess a minimum of two years of financial services industry experience-securities and/or broker-dealer and have a current FINRA series 7 required, series 24 preferred, familiarity with Pershing’s Netx360 platform, and industry related knowledge on stocks, bonds, mutual funds, and other investment products required.

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.

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 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!