Leads the firm's compliance program and promotes adherence to applicable Securities and Exchange Commission (SEC) requirements, other regulatory obligations, and the firm's internal policies and procedures. Oversees regulatory examinations, filings, surveillance, testing, licensing, and escalation activities; advises management on compliance risks and required corrective actions; and prepares clear, accurate documentation and reports.
What You'll Do: - Leads and coordinates SEC regulatory examinations, including preparing requested materials, managing responses, communicating with exam staff, and tracking remediation items through completion.
- Prepares, reviews, and submits required regulatory filings, including Form ADV Part 1, Form ADV Part 2A, Form ADV Part 2B, Form CRS, Form 13F, and Form 13H, as applicable.
- Approves, documents, and oversees the resolution of trade errors in accordance with regulatory requirements and firm policies.
- Reviews, approves, and monitors high-dollar transactions and third-party wire requests, escalating exceptions or concerns as appropriate.
- Monitors employee compliance with the firm's Code of Ethics, Compliance Manual, and internal policies and procedures; escalates identified noncompliant activity in accordance with established protocols.
- Plans and performs risk-based internal audits and compliance testing - including but not limited to rollovers, client communications, books and records, client documentation, advisory fees and billing, and investment recommendations.
- Conducts and documents the firm's annual compliance review and risk assessment, identifies control gaps and emerging risks, and recommends enhancements or corrective actions.
- Manages Investment Adviser Representative licensing and registration matters, including initial registrations, amendments, renewals, and related regulatory records.
- Oversees insurance licensing, carrier appointments, renewals, and continuing education requirements, and monitors timely completion and documentation.
- Compiles and analyzes internal and external compliance information; prepares management reports; and coordinates data and documentation requests across departments and with external auditors or regulators.
- Researches new and changing federal and state legal and regulatory requirements, assesses their impact on the firm, and advises management on necessary policy, procedure, training, or operational changes.
- Provides compliance guidance to employees, responds to questions and requests, supports implementation of compliance policies and procedures that strengthen the firm's compliance program.
- Maintains professional knowledge through continuing education, regulatory updates, and relevant industry publications.
What You Bring:- Strong knowledge of SEC-registered investment adviser regulations, filings, books and records, examination practices, and compliance requirements.
- Ability to interpret regulations and implement practical policies, procedures, monitoring, and corrective actions.
- Excellent written and verbal communication skills with experience interacting with clients, advisors, regulators, auditors, management, and employees.
- Highly organized, detail-oriented, and able to maintain discretion and sound judgment when handling confidential information and paperwork.
- Strong analytical, problem-solving, and process-improvement skills with sound judgment and the ability to prioritize time-sensitive matters.
- Proactive, self-directed, and capable of managing multiple priorities in a fast-paced financial services environment.
- Intermediate to advanced computer skills.
- Compliance certification (IACCP) preferred.
- Collaborative team player with strong follow-through and accountability.
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
