About the role
Kestra Financial is a wealth management platform 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. The Sr. Supervisory Principal is responsible for ensuring advisors are maintaining compliance with regulatory standards and Firm policies and procedures. The Sr. Supervisory Principal will work remotely within a Home Office based Supervision department, along with other Supervision staff assigned to a Service Team. This position is an individual contributor reporting to the Director of Supervision.
What You’ll Do:
Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives
Responsible for the supervisory review of new accounts, trades, annuities, and alternative investments
Responsible for the supervisory review of written and electronic correspondence
Conduct field office training as required
Engage and resolve escalated supervisory, compliance, and other issues as they arise
Research and prepare draft responses to Regulatory and Legal enquiries
Strengthen relationships with advisors and their support staff
Support team members through training, mentoring, and assist with professional development
Excellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved products
Other duties assigned by Supervision Leadership
What You Bring:
Bachelor's degree and / or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk management
Excellent skills in organization, attention to detail, written and verbal communication, conflict resolution, and presenting
The qualified candidate will work in a collaborative team environment but be responsible for individual results
Knowledge of SEC, FINRA, and State rules and regulations
Knowledge of BD and RIA business practices
Proficient with Windows applications such as Word, Excel, Teams, and Outlook
Familiarity with industry tools such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc.
CERTIFICATES, LICENSES, REGISTRATION:
Series 7, 24 or 9/10, and 66 or 63/65 required
Series 53, 24 if 9/10 only, required within 3 months of hire
Series 4, Life and Health Insurance licenses a plus, but not required
Internal Application Policy:
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
Kestra Values:
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: Careers Portal: LinkedIn: 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.
Originally posted on Himalayas