Compliance Analyst

1 week ago

Austin, United States Kestra Holdings Full time
ABOUT US:

Come join the dynamic team at Kestra Financial Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.

Kestra Financial seeks a Regulatory Analyst to support the Firm's efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the successful candidate will work to support the Firm in meeting regulatory deadlines and serve as a point of contact for the regulatory department to assist with mitigating risk and achieving a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Regulatory Compliance team and help set the tone and culture of the team.

The Analyst will primarily support the department with regulatory filings, meeting regulatory deadlines, managing customer complaints, facilitating the disciplinary process, and maintaining regulatory books and records for the Firm. The Analyst will also support internal investigations, customer complaints, and ad-hoc projects to respond to requests from internal and external stakeholders. The successful candidate must understand the regulatory context of requests received and communicate with business units and financial professionals. This individual must have strong organization, communication, proficient writing, and interpersonal skills to do so.

The Analyst must be able to track requests and ensure the Firm meets assigned deadlines while providing status/information on all outstanding and closed requests. The preferred candidate will have at least 2 years of experience in financial services. Compliance experience is also helpful, with previous regulatory response, audit, or testing experience preferred.

ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, an individual must execute each essential duty satisfactorily.
  • Support the department on regulatory matters, including meetings, requests, and examinations to- Maintain filing structure for regulatory information gathered and provided.- Track findings and ensure they are closed out in a timely fashion. - Track and manage multiple deliverables on tight timelines.- Review documents and files for accurate recordkeeping.- Coordinate responses to regulatory findings.
  • Interact with and support our independent financial professionals.
  • Support the disciplinary program and escalation process
KNOWLEDGE, SKILLS, AND/OR ABILITIES: To perform this job successfully, the individual should have the following skills and abilities.
  • Ability to work effectively within tight deadlines.
  • Strong organizational and records management skills.
  • Skilled in professionally working in an adverse environment.
  • Strong written communication skills with an emphasis on factual reporting.
  • Microsoft Office, including Outlook, Excel, and Word
SUPERVISORY RESPONSIBILITIES: None

EDUCATION AND/OR EXPERIENCE:
  • 2+ years of experience in financial services
  • Must have experience with handling confidential matters
  • College degree required
  • Familiarity with Wealthscape, data analytics, and the NFS platforms is a plus
  • Filing Form U4/U5 updates, Salesforce, and Acrobat Adobe experience is a plus
  • Proficiency with Microsoft Office - Word, Excel, and Outlook
CERTIFICATIONS, LICENSES, REGISTRATIONS:
  • Series 7
  • Series 24
  • Series 63
INTERNAL APPLICANT POLICY:

Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

BENEFITS:

Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).

DISCLOSURE

By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
  • You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
  • It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.


KESTRA VALUES:

Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM.

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