Surveillance Analyst

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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 & 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.