Compliance Analyst
4 weeks ago
Kestra Financial is a leading independent advisor platform that empowers sophisticated, independent financial professionals to prosper, grow, and provide superior client service. Our culture is rich in reinvention and advisor advocacy, allowing us to develop integrated business management technology that, combined with personalized consulting services, offers exceptional scale and efficiency.
Job Summary
We are seeking a highly skilled Compliance Analyst to join our team. As a Compliance Analyst, you will be involved in the continued development and enhancement of our firm's Retirement Plan Compliance program to ensure adherence to ERISA, DOL, and applicable regulations. The ideal candidate will enjoy problem-solving and data analysis, with knowledge of Retirement Plans being a plus.
Key Responsibilities
- Respond to requests from Advisors, their staff, and internal business partners
- Review exception reports to identify discrepancies and implement corrective action
- Process documentation requiring compliance approval
- Perform data analysis to support various initiatives
- Undertake special compliance-related projects as assigned
- Conduct other related tasks to support compliance surveillance, monitoring, and testing
Requirements
- Industry experience
- Bachelor's Degree preferred
- FINRA Series 7 required
- FINRA 24 preferred; ability to obtain within 90 days
- Strong written and oral communication skills
- Knowledge of, or ability to gain knowledge of, Advisory Rules and Regulations
- Knowledge of, or ability to gain knowledge of, ERISA regulations
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).
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