Analyst, Surveillance

Job not on LinkedIn

🔥 15 hours ago

🇺🇸 United States – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🧐 Analyst

👻 Ghost score 10%

What it means: the chance that no one is really hiring for this job.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• Meet predetermined goals for both team and individual assignments based on 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, internal auditors, and the legal department • Complete other compliance-related projects and tasks as assigned by the Surveillance Manager • Assist the firm in mitigating risk conditions associated with client accounts and financial advisor activities • Perform functions and analysis using software applications and reports to support compliance with industry regulations and company policies

🎯 Requirements

• 3+ years’ experience in financial services, preferably within a Broker-Dealer environment • Compliance experience preferred • College degree preferred, preferably in finance, economics or business • Sound understanding of Broker/Dealer and Investment Advisory regulations • Holistic communication style, balancing a service approach with business requirements • Detail oriented with strong organization and time management skills • Strong team player • Proficient with Microsoft Office applications and ability to learn other internal applications • Series 7, 63 and 24 required • Series 65 or Series 66 preferred

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