What are the responsibilities and job description for the Compliance Testing & Verification Associate 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.
As the Testing & Verification Senior Analyst, you will proactively interact with various departments within Kestra to ensure that written procedures and processes are adequate and faithfully executed within industry regulation and Kestra policy.
ESSENTIAL DUTIES AND RESPONSIBILITIES : To perform this job successfully, individual must be able to execute each essential duty satisfactorily.
- Identify operational and regulatory risk of the firm and participate in ongoing firm risk assessment process
- Test business units for adherence to firm Written Supervisory Procedures and applicable departmental procedures
- Verify the establishment & maintenance of written procedures
- Communicate with management at all levels
- Generate written adequacy / deficiency reports and follow up on remediation efforts
- Proactively assist management to enhance written procedures
- Assist in generation of annual FINRA 3120 / 3130 and SEC 206(4)-7 reports
- Assist in implementation of firm Anti-Money Laundering & Cybersecurity programs
- Other compliance related duties as assigned by management
- Commitment to culture requires a demonstration of professionalism, accountability, customer / client focus, and teamwork
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 :
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.
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
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.
