Manager, Examinations and Testing

SUMMARY:

This position will be responsible for proactively interacting with various departments within Kestra to ensure that written procedures and processes are adequate and faithfully executed in accordance with industry regulations and Kestra policy. In addition, this role will also manage the branch examination process, overseeing the work of an external vendor conducting the examinations. This individual will serve as a subject matter expert, ensuring effective vendor oversight, process improvements, and compliance with regulatory requirements.

ESSENTIAL DUTIES AND RESPONSIBILITIES:To perform this job successfully, the individual must execute each essential duty satisfactorily.

• Identify the firm's operational and regulatory risks and participate in the ongoing firm risk assessment process.
• Test business units for adherence to firm Written Supervisory Procedures and applicable departmental procedures.
• Verify the establishment and maintenance of written procedures.
• Communicate with management at all levels regarding compliance matters.
• Generate written adequacy/deficiency reports and follow up on remediation efforts.
• Proactively assist management in enhancing written procedures.
• Assist in generating annual FINRA 3120/3130 and SEC 206(4)-7 reports.
• Assist in implementing the firm's Anti-Money Laundering & Cybersecurity programs.
• Oversee and manage the branch examination process, including vendor management and quality assurance of completed branch exams.
• Ensure the external vendor adheres to Kestra's compliance standards and regulatory requirements.
• Serve as a primary authority on branch exam matters and as a resource for business units.
• Continue developing branch exam module content to align with firm and regulatory priorities.
• Other compliance-related duties as assigned by management.

KNOWLEDGE, SKILLS, AND ABILITIES:To perform this job successfully, the individual should have the following skills and abilities

• Sound understanding of Broker/Dealer and Investment Advisory regulations.
• Strong written and verbal communication skills.
• Detailed-oriented with excellent organizational skills.
• Strong conflict management and time management skills.
• Ability to manage external vendors and oversee quality assurance processes.
• Proficient in Microsoft applications such as Word, Excel, and Outlook.
• Familiarity with SEC, FINRA, MSRB, and other financial industry rules and regulations.
• Familiarity with Anti-Money Laundering & Cybersecurity regulations and processes.
• Ability to work independently and prioritize multiple tasks effectively.
• Ability to serve as a point of escalation for compliance matters related to branch exams.

SUPERVISORY RESPONSIBILITIES:

None directly, but responsible for managing the external vendor performing branch exams and ensuring adherence to compliance standards.

EDUCATION ANDEXPERIENCE:

• Bachelor's degree or equivalent industry experience preferred
• Two years of auditing experience in a broker/dealer environment and 5 years of industry experience are necessary.

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Requires Series 7 license
• Requires Series 24 license

PHYSICAL DEMAND:

The physical demands described here represent those that an employee must meet to perform the essential functions of this job successfully. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

• Ability to sit at a computer for long periods of time in an office environment that is well lit.
• Ability to lift up to 20 pounds
• Position is located in the Austin, Texas office. Must be able to work in the office during scheduled work hours.

OTHER DUTIES:

Please note this job description is not designed to cover or contain a complete, comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Job Type: Full-time

Pay: $85,000.00 - $95,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Professional development assistance
• Referral program
• Vision insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

Supplemental Pay:

• Bonus opportunities

Experience:

• Auditing: 2 years (Required)

License/Certification:

• Series 7 (Required)
• Series 24 (Required)

Ability to Commute:

• Austin, TX 78735 (Required)

Ability to Relocate:

• Austin, TX 78735: Relocate before starting work (Required)

Work Location: In person

Salary : $85,000 - $95,000