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ABOUT US:
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.
SUMMARY:
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.
RESPONSIBILITIES:
SKILLS:
EDUCATION AND EXPERIENCE:
CERTIFICATIONS:
BENEFITS
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more.
DISCLOSURE
By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
Full Time
Investment Management
05/27/2022
12/14/2022
kestrafinancial.com
Austin, TX
200 - 500
Investment Management
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 IV 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.