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Compliance Specialist

Austin, TX | Full Time
6 Days Ago

Job Description


Kestra Investment Management is newly founded within Kestra Holdings which has been supporting financial advisor's for over 20 years. Kestra Investment Management represents a unique opportunity to help support and grow the firm's investment offerings. We aim to provide a broad suite of investment solutions and expertise our financial professionals can use to help their clients.


The Investment Compliance Specialist role is within the newly founded Kestra Investment Management division of Kestra Holdings and will report to the Chief Compliance Officer / Chief Operating Officer of Kestra Investment Management. 

As a Compliance Specialist, you will be involved with the continued development of the Kestra Investment Management RIA compliance program to ensure adherence to the Adviser's Act and applicable regulations. You will work with a small team on data analysis and project management.


  • Be a compliance resource to the firm and internal partners
  • Implement new policies, procedures, controls and exception reports
  • Evaluate business documents and processes to identify compliance risk
  • Review investment-related marketing and research collateral (factsheets, market commentary, videos) to ensure it meets industry standards and regulatory requirements
  • Provide data analysis to support different projects such as annual ADV filings, regulatory exams and inquiries
  • Review exception reports to identify and implement corrective action
  • Review requests requiring compliance approval
  • Investigate alleged violations as identified or referred to Compliance by various internal sources
  • Participate in special projects according to requests or necessitated by current events
  • Provide input for process improvement
  • Other compliance related responsibilities


  • Strong written and oral communication.
  • Microsoft Excel and PowerPoint


  • Undergraduate degree from a four-year accredited college or university.
  • Minimum 3 years of experience in compliance.
  • Program or project management experience.
  • Experience with implementation and use of compliance technology.
  • Investment Management and Advisory Services


  • FINRA Series 65 required
  • FINRA Series 7, 24, 66 or ability to obtain


Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more.


By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:

  • 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.

Company Overview

  • Website
  • Headquarters ELMSFORD, NY
  • Size 200 - 500
  • Founded 2019
  • Type
  • CEO
  • Revenue $10M - $50M
  • Industry Financial Services
  • About kestra financial

Skills for Compliance Specialist

The job skills required for Compliance Specialist include Project Management, PowerPoint etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Specialist. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Specialist. Select any job title you are interested in and start to search job requirements.

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Career Path for Compliance Specialist

The following is the career advancement route for Compliance Specialist positions, which can be used as a reference in future career path planning. As a Compliance Specialist, it can be promoted into senior positions as a Compliance Specialist III that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Specialist. You can explore the career advancement for a Compliance Specialist below and select your interested title to get hiring information.