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 mitigating risk and achieving a high level of compliance with applicable laws, industry regulations, and company policy.
The Analyst I will primarily support the AVP of Regulatory Compliance in handling administrative tasks and assists with requests from FINRA, SEC, and State regulators. The successful candidate must understand the regulatory context of requests received and communicate with business units to identify and propose the Firm’s response with consistent, accurate, and clear information. To do so, this individual must be able to critically evaluate the data and other materials provided by internal partners and perform quality control and gap analysis reviews to ensure the materials are responsive to the request.
Under the direction of the AVP, the analyst must be able to track regulatory requests and due dates, then help formulate, coordinate, and manage responses for delivery in a timely fashion. The analyst must also record, track, and escalate any resultant findings. Given the variety and complexity of the information that must be managed, the successful candidate must have a working knowledge of SEC and FINRA examination processes and the regulations applicable to the independent RIA and BD space. The preferred candidate will have at least 3 years’ experience in financial services. Compliance experience is also required, with previous regulatory response, audit, or testing experience preferred.
As a primary member of the examination response team, this position typically requires extended hours during the examination process, and constant contact with members of the examinations staff. This includes supporting the AVP by facilitating meetings, gathering, and validating data, addressing concerns, and obtaining clarification of questions and responses as necessary.
The Analyst I will also help monitor regulatory changes that may require action on the part of the Firm. In addition, the Analyst I will offer occasional support to the internal investigations process and summarize any findings for internal stakeholders. The Analyst I must be able to scope and research information relating to activities that involve potential policy and regulatory violations. The successful candidate will have a working knowledge of broker-dealer and RIA systems and familiarity with a variety of software applications. Knowledge of and experience with WEB CRD is also welcome.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, an individual must be able to execute each essential duty satisfactorily.

• Support the AVP on regulatory matters including regulatory meetings, requests, and examinations to
• Maintain filing structure for information gathered and provided in the course of an examination or inquiry.
• Track findings and ensure they are closed out in a timely fashion.
• Perform data quality reviews and gap analyses.
• Track and manage multiple deliverables on tight timelines.
• Maintain ongoing contact with examination staff during regulatory exams.
• Address any concerns or provide any clarifications requested by examiners.
• Review documents for clarity and accuracy.
• Coordinate responses to regulatory findings.
• Ability to file FINRA Rule 4530 regulatory filings with minimal guidance.
• Ability to research and draft responses to customer complaints.
• Interact with and support our independent financial professionals.
• Support the disciplinary program and regulatory requirements, as needed.

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

• Understand key business risks and the regulatory environment.
• Effectively communicate the framework the Firm has in place to comply with Broker/Dealer and Investment Advisory regulations.
• Data verification, quality validation, and gap analysis skills.
• Ability to work effectively within tight deadlines.
• Strong organizational and records management skills
• Skilled in working in a challenging/demanding environment while maintaining a professional and empathetic manner.
• Strong written communication skills with emphasis on factual reporting.
• Knowledge of the software and systems used to file regulatory responses and the ability to determine the most appropriate delivery method. This includes being able to appropriately encrypt files as necessary.

SUPERVISORY RESPONSIBILITIES: None
EDUCATION AND/OR EXPERIENCE:

• 3 years of experience in financial services, preferably within a Broker-Dealer/RIA environment.
• Compliance experience mandatory.
• Internal Audit, Branch Exams, or Investigation experience preferred.
• Must have experience with handling confidential matters.
• College degree required.
• Familiarity with Wealthscape, data analytics, and the NFS platforms a plus.
• Proficiency with Microsoft Office – Word, Excel, and Outlook.

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Series 7
• Series 63
• Series 24 (preferred)

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:

• 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.