What are the responsibilities and job description for the Compliance Analyst position at Kestra Holdings?
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.
SUPERVISORY RESPONSIBILITIES : None
EDUCATION AND / OR EXPERIENCE :
CERTIFICATIONS, LICENSES, REGISTRATIONS :
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 :
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.
