Supervisory Principal

Job not on LinkedIn

🔥 7 minutes ago

🇺🇸 United States – Remote

⏰ Full Time

🔴 Lead

👻 Ghost score 12%

What it means: how likely this posting is sitting open without active hiring.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

• Maintain Kestra’s compliance with firm and regulatory rules and policies related to Registered Representatives and Investment Advisor Representatives • Coordinate trade and new account supervision for representatives within a designated Kestra service team • Review broker/dealer trade activity in Protegent • Review new accounts for suitability and best interest • Approve compliance disclosures submitted by registered representatives • Conduct supervisory review of written and electronic correspondence • Conduct field office training as needed • Apply knowledge of compliance topics and investment products • Perform other duties assigned by the Designated Supervisor or Management • Report to the Manager of Trade Supervision

🎯 Requirements

• Bachelor's degree and / or 5-7 years industry experience, most recently compliance experience, sales management, and/or risk management • Excellent organizational skills and strong attention to detail • Strong communication, conflict resolution and presentation skills • Ability to work in a collaborative team environment while being individually responsible for results • Proficient with Windows applications such as Word, Excel and Outlook • Familiarity with paperless office concepts, document scanning and contact management software • Series 7, 24 or 9/10, and 66 or 63/65 required • Series 53 required within 3 months of hire • Series 4, Life and Health Insurance licenses a plus, but not required

🏖️ Benefits

• Remote work within a Home Office based Supervision department • Series 53 certification required within 3 months of hire • Series 4, Life and Health Insurance licenses a plus, but not required