What are the responsibilities and job description for the Compliance Analyst position at Kestra Financial?
Lead with Purpose. Partner with Impact
As an RIA Compliance Analyst, you will report to the Manager of RIA Compliance. You will have or obtain sound knowledge of Advisory Rules and Regulations, including a working knowledge of the Investment Advisers Act of 1940. You will be involved with the continued development of our compliance program to ensure adherence to the Advisers Act and applicable regulations.
What you’ll Do:
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 to support you:
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.
Explore Life at Kestra
Kestra Holdings Website: https://www.kestrafinancial.com/
Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE
LinkedIn: https://www.linkedin.com/company/kestra-financial
Apply Today
Lead with purpose. Apply now and help shape the future of Kestra.
Disclosure By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
As an RIA Compliance Analyst, you will report to the Manager of RIA Compliance. You will have or obtain sound knowledge of Advisory Rules and Regulations, including a working knowledge of the Investment Advisers Act of 1940. You will be involved with the continued development of our compliance program to ensure adherence to the Advisers Act and applicable regulations.
What you’ll Do:
- Be a compliance resource to advisors, their staff, and internal partners
- Review exception reports to identify, propose, and implement corrective action
- Investigate alleged violations as identified or referred to Compliance by different internal sources
- Provide data analysis to support different programs, including annual ADV filings, regulatory exams, and inquiries
- Review all requests requiring compliance approval
- Develop exception reporting
- Participate in special projects according to requests from senior management or necessitated by current events
- Provide input for process improvement
- A bachelor's Degree in a related field is useful.
- 1 years of financial services industry experience
- Industry experience
- Understanding of advisory services
- Prioritization
- Organization
- Microsoft Excel (can maintain complex spreadsheets)
- FINRA Series 7
- FINRA 24 or to obtain within 90 days
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 to support you:
- Competitive pay and benefits with a large employer (over 1600 employees nationwide)
- 401(k), health insurance, and a competitive benefits package
- Work in a supportive, collaborative environment committed to professional excellence
- Help clients navigate meaningful financial decisions with confidence
- Opportunities for training, development, and long-term growth within the firm
- Tuition reimbursement for qualified expenses
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.
Explore Life at Kestra
Kestra Holdings Website: https://www.kestrafinancial.com/
Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE
LinkedIn: https://www.linkedin.com/company/kestra-financial
Apply Today
Lead with purpose. Apply now and help shape the future of Kestra.
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.