The position will be operated within a Home office based Compliance and Supervision department, working with other Compliance and Supervision staff. This position reports to the Director of Advertising Compliance. The individual is responsible for reviewing advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives.
What you'll Do:- To perform this job successfully, individual must be able to execute each essential duty:
- Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting financial professionals in aligning content with regulatory requirements and internal policies.
- Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators.
- Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications.
- Responsible for the supervisory review of written and electronic correspondence
- Responsible for the supervisory review of outside business activities (OBA)
- Participate in the training and mentorship of Advertising Compliance Analysts.
- Collaborate effectively with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms.
- Assist in training internal teams and field staff on advertising processes, systems, and regulations.
- Elevate relevant questions or concerns to senior analysts or management as appropriate.
- File advertising and communications with FINRA as required.
- Conduct regulatory research as needed.
- Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm's cultural commitment.
What You Bring: - Bachelor's Degree preferred
- Minimum 5 years industry experience
- To perform this job successfully, the individual should demonstrate the following:
- Consistent delivery of excellent customer service.
- Strong understanding of digital marketing trends, content strategy, and social media use in financial services.
- Experience working within a dual-registrant environment (broker-dealer and RIA).
- Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising.
- In-depth familiarity with FINRA and SEC advertising/communications regulations.
- Ability to interpret and reconcile regulatory rules with proposed advertising materials.
- Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively.
- Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment.
- Understanding of securities and insurance products, as well as investment advisory services.
- FINRA Series 7 License required
- FINRA Series 24 License required
- Series 66 within 3 months of hire.
Internal Application Policy:Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
Benefits to support you:- Competitive pay and benefits with a large employer (over 1600 employees nationwide)
- 401(k), health insurance, and a competitive benefits package
- Work in a supportive, collaborative environment committed to professional excellence
- Help clients navigate meaningful financial decisions with confidence
- Opportunities for training, development, and long-term growth within the firm
- Tuition reimbursement for qualified expenses
