Senior Supervisory Principal

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🇺🇸 United States – Remote

⏰ Full Time

🟠 Senior

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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

• Supervise the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives • Review new accounts, trades, annuities, and alternative investments • Review written and electronic correspondence • Conduct field office training as required • Resolve escalated supervisory, compliance, and other issues • Research and prepare draft responses to regulatory and legal inquiries • Strengthen relationships with advisors and their support staff • Support team members through training, mentoring, and professional development • Apply knowledge of compliance issues, firm and regulatory policy, and Kestra-approved products • Perform other duties assigned by Supervision Leadership

🎯 Requirements

• Bachelor's degree and/or 5–7 years of industry experience, most recently in Supervision or Compliance and/or risk management • Excellent organization, attention to detail, written and verbal communication, conflict resolution, and presentation skills • Knowledge of SEC, FINRA, and State rules and regulations • Knowledge of BD and RIA business practices • Proficiency with Windows applications including Word, Excel, Teams, and Outlook • Familiarity with FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, and similar industry tools • Series 7, 24 or 9/10, and 66 or 63/65 required • Series 53 and Series 24 if 9/10 only, required within 3 months of hire • Series 4 and Life and Health Insurance licenses are a plus but not required

🏖️ Benefits

• Remote work within a Home Office-based Supervision department • Training, mentoring, and professional development support • Collaborative team environment

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