Surveillance Analyst

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Kestra Holdings

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1997

💸 Finance

💳 Fintech

🤝 B2B

Finance • Fintech • B2B

Kestra Holdings is an ecosystem of financial firms that provides industry-leading wealth management platforms and support services to independent financial professionals across the U. S. The company offers end-to-end wealth management solutions including investment and portfolio management, technology platforms, succession and monetization services, trust services, insurance and planning services, and back-office support. Kestra is the parent company of broker-dealer and registered investment adviser entities (e. g. , Kestra Investment Services, Kestra Advisory Services, Kestra Private Wealth Services, Kestra Institutional Services) and other affiliated firms such as Arden Trust Company and Bluespring Wealth Partners. Founded in 1997, Kestra emphasizes independence for advisors, scale and service for advisors and their clients, and a technology-enabled ecosystem for growth, succession, and operational support.

📋 Description

• Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed. • Communicate with financial advisors and Manager to resolve and document issues and resolutions. • Collaborate with team members and other internal staff to develop enhanced tools and techniques. • Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department. • Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures. • Maintain thorough, defensible documentation suitable for regulatory examination. • Other compliance-related projects and tasks as assigned by the Surveillance Manager. • Sound understanding of Broker/Dealer and Investment Advisory regulations. • Holistic communication style, balancing a service approach with business requirements. • Detail oriented with strong organization & time management skills. • Ability to interpret regulations and apply them to real‑world advisory and brokerage activity. • Strong investigative, analytical, and written documentation skills. • Strong team player. • Proficient with Microsoft Office applications and ability to learn other internal applications.

🎯 Requirements

• 3+years’ experience in financial services, preferably within an RIA and/or Broker-Dealer environment. • Compliance experience preferred. • College degree is preferred, preferably in finance, economics or business. • Series 7, 63 and 24 required. • Series 65 or Series 66 preferred.