What are the responsibilities and job description for the Kestra Financial is hiring: Advertising Compliance in Austin position at Kestra Financial?

Encino Building #2, Austin, Texas, United States of America

Job Description

Posted Thursday, January 9, 2025 at 7 : 00 AM

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.

SUMMARY :

Support the marketing initiatives of the financial professionals who utilize Kestra Financial. Financial professionals must comply with various regulatory requirements from print items to social media campaigns and seminars. This position reviews a financial professional's communications, provides individually tailored solutions to ensure the piece meets regulatory standards, and maintains appropriate records.

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

Timely review and approval of material submitted with minimal supervision.
Proactively assist financial professionals with making advertising pieces compliant with regulatory standards and internal policies.
Assist in developing and managing controls, systems, procedures, files, and records as required by FINRA, SEC, and state regulatory agencies.
Assist in developing, updating, and maintaining written supervisor procedures, training material, compliance library of approved material, and compliance-issued communications.
Participate in the training and development of fellow Advertising Analysts.
Interact effectively with Kestra Financial professionals, product wholesalers, outside brokers / Dealers, Registered Investment Advisors, agents, advertising agencies, and public relations firms.
Perform special projects as assigned.
Diplomatically communicate content concerns to financial professionals, explain the basis for the problem, and be creative enough to provide alternatives to the problematic language.
Assist with training internal personnel and field force on advertising processes, procedures, and regulations.
Maintain appropriate books and records according to regulatory requirements.
Communicate questions and concerns to / from financial professionals or home office staff and to other analysts and management.
File communications with FINRA for review.
Research regulations as needed.
Commitment to culture requires professionalism, accountability, customer / client focus, and teamwork.

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

Must provide a consistently excellent customer service experience.

Must understand, accurately interpret, and apply the regulatory framework.

Communicate complex messages with empathy.

Understand securities and insurance products as well as investment advisory services.

Be comfortable with high-pressure and quick deadlines situations.

Must be flexible and able to adapt to changing work environment.

Have a sound knowledge of Advertising Rules and Regulations, including a working knowledge of FINRA Rule 2210 and 206(4)-1 of the Investment Advisors Act.

Must demonstrate advanced knowledge of Microsoft Excel.

Must be able to read, analyze, and reconcile rules to documents.

The individual must also possess good analytical skills, problem-solving skills, and outstanding verbal and written communication skills.

Attention to detail is imperative.

SUPERVISORY RESPONSIBILITIES : None

EDUCATION AND EXPERIENCE :

Bachelor's Degree preferred

Minimum 2 years of industry experience

CERTIFICATES, LICENSES, REGISTRATION :

FINRA Series 7 License required

FINRA Series 24 License required

PHYSICAL DEMAND : The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. 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 well lit.

Ability to lift up to 20 pounds.

Position is located in Austin, TX 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.

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 :

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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