Senior Supervisory Principal

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Kestra Holdings

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 1997

💸 Finance

🤝 B2B

☁️ SaaS

Finance • B2B • SaaS

Kestra Holdings is an ecosystem and holding company that provides industry-leading wealth management platforms and services to independent financial professionals across the United States. It serves as the direct or indirect parent of broker-dealer and registered investment adviser subsidiaries (including Kestra Investment Services, Kestra Advisory Services, Kestra Private Wealth Services, Kestra Institutional Services, Arden Trust Company, and Bluespring Wealth Partners) and offers end-to-end solutions such as portfolio management platforms, technology and back-office support, trust services, succession and monetization opportunities, and insurance and planning services. Kestra emphasizes enabling advisor independence through scale, service, and technology to support both advisors and their investing clients.

📋 Description

• 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

🎯 Requirements

• 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.