What are the responsibilities and job description for the Sr. Investigator, Regulatory Compliance position at Kestra Financial?
Kestra Holdings offers industry-leading wealth management platforms for independent wealth management professionals nationwide. Kestra is dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients.
Lead with Purpose. Partner with Impact.
Kestra Financial seeks a senior analyst to support the Firm’s efforts to respond to conduct internal investigations, assist with client complaints, and regulatory requests. As a member of the Compliance team, the successful candidate will support the firm to mitigate risk and achieve a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Director of Regulatory Compliance as a point of contact for escalated issues and help set the tone and culture of the organization.
The Primary Investigator is responsible for conducting thorough internal reviews of cross‑departmental activities to ensure adherence to SEC, FINRA, and applicable State regulatory requirements. This role leads investigations into potential compliance issues, gathers and analyzes evidence, prepares detailed findings, and collaborates with business units to recommend corrective actions. The Primary Investigator will maintain comprehensive documentation, monitor remediation efforts, and proactively identify emerging regulatory risks. Success in this position requires strong analytical skills, sound judgment, and the ability to communicate complex regulatory matters clearly to stakeholders at all levels.
In addition, the Primary Investigator assists with the review and assessment of customer complaints, regulatory inquiries, and representative risk assessment reviews, ensuring timely, accurate, and well-supported reporting. This role requires strong discipline in meeting deadlines and the ability to adapt effectively to shifting priorities while maintaining high‑quality output. Strong analytical abilities, sound judgment, and the ability to clearly communicate and present complex regulatory matters to stakeholders at all levels are essential for success in this position.
What You’ll Do: This will be the job description & should always be bullet points
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:
Lead with Purpose. Partner with Impact.
Kestra Financial seeks a senior analyst to support the Firm’s efforts to respond to conduct internal investigations, assist with client complaints, and regulatory requests. As a member of the Compliance team, the successful candidate will support the firm to mitigate risk and achieve a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Director of Regulatory Compliance as a point of contact for escalated issues and help set the tone and culture of the organization.
The Primary Investigator is responsible for conducting thorough internal reviews of cross‑departmental activities to ensure adherence to SEC, FINRA, and applicable State regulatory requirements. This role leads investigations into potential compliance issues, gathers and analyzes evidence, prepares detailed findings, and collaborates with business units to recommend corrective actions. The Primary Investigator will maintain comprehensive documentation, monitor remediation efforts, and proactively identify emerging regulatory risks. Success in this position requires strong analytical skills, sound judgment, and the ability to communicate complex regulatory matters clearly to stakeholders at all levels.
In addition, the Primary Investigator assists with the review and assessment of customer complaints, regulatory inquiries, and representative risk assessment reviews, ensuring timely, accurate, and well-supported reporting. This role requires strong discipline in meeting deadlines and the ability to adapt effectively to shifting priorities while maintaining high‑quality output. Strong analytical abilities, sound judgment, and the ability to clearly communicate and present complex regulatory matters to stakeholders at all levels are essential for success in this position.
What You’ll Do: This will be the job description & should always be bullet points
- Support the Director on regulatory investigations, including regulatory meetings, requests, and examinations to
- Compose formal responses to requests and inquiries from FINRA, SEC, and State regulators on behalf of the firm.
- Perform senior-level data quality reviews and gap analyses.
- Track and manage multiple deliverables on tight timelines.
- Maintain collaborative efforts with cross-departmental investigators.
- Address any concerns or provide any clarifications requested by stakeholders
- Review documented evidence for clarity and accuracy.
- Conduct firm interviews with registered representatives.
- Coordinate responses to regulatory findings.
- Track findings and ensure they are closed out in a timely fashion.
- Ability to perform update Form U4 and U5 DRP filings with minimal guidance.
- Ability to research and respond to customer complaints.
- Interact with and support our independent registered representatives and investment advisor representatives.
- 5 years of experience in financial services, preferably within a Broker-Dealer /RIA environment.
- Compliance experience is preferred.
- Must have experience handling confidential matters.
- College degree required.
- Familiarity with Lexis Nexis, RegEd, Smarsh, and NFS platforms a plus.
- Series 7
- Series 24
- Series 63
- Ability to sit at a computer for long periods of time in an office environment that is well-lit.
- Ability to lift to 20 pounds.
- The position is located in the Phoenix,AZ office. The candidate must be able to work in the office during scheduled work hours.
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.