Regulatory Compliance Specialist
3 weeks ago
Kestra Financial is a leading independent advisor platform that empowers sophisticated, independent financial professionals to prosper, grow, and provide superior client service.
The company has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency.
As a Compliance Analyst, you will be involved with the continued development and enhancement of the firm's Retirement Plan Compliance program to ensure adherence to ERISA, DOL, and applicable regulations.
The right candidate for this position will enjoy problem solving and data analysis. Knowledge of Retirement Plans is preferred.
Responsibilities include:
- Respond to requests from Advisors, their staff, and internal business partners
- 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
Benefits include:
- 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)
Kestra Financial is an equal opportunity employer and prohibits any 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.
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them.
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