This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee the daily operations of designated Registered Representatives and Investment Advisory Representatives.

• Evaluate new accounts, trades, annuities, and alternative investment options.

• Assess both written and electronic communications.

• Provide field office training as needed.

• Address escalated supervisory, compliance, and other related matters.

• Conduct research and prepare preliminary responses to regulatory and legal inquiries.

• Enhance relationships with advisors and their support teams.

• Assist team members through training, mentorship, and opportunities for professional growth.

• Utilize knowledge of compliance issues, firm policies, and Kestra-approved products.

• Carry out additional responsibilities as assigned by Supervision Leadership.

⛳️ Requirements

• A Bachelor's degree and/or 5–7 years of industry experience, primarily in Supervision, Compliance, or risk management.

• Exceptional organizational skills, attention to detail, and proficiency in written and verbal communication, conflict resolution, and presentation abilities.

• Understanding of SEC, FINRA, and state regulations and rules.

• Familiarity with BD and RIA business operations.

• Proficient in Windows applications such as Word, Excel, Teams, and Outlook.

• Knowledge of industry tools like FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, and similar platforms.

• Possession of Series 7, 24 or 9/10, and 66 or 63/65 is mandatory.

• If holding Series 9/10, Series 53 and Series 24 must be obtained within three months of hire.

• Series 4 and Life and Health Insurance licenses are advantageous but not mandatory.