Supervisory Principal

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

📋 Description

• Ensure Kestra complies with regulatory requirements and internal policies pertaining to Registered Representatives and Investment Advisor Representatives.

• Facilitate trade and new account oversight for representatives assigned to a specific Kestra service team.

• Analyze broker/dealer trade activities using Protegent.

• Assess new accounts for suitability and alignment with best interests.

• Authorize compliance disclosures submitted by registered representatives.

• Conduct supervisory evaluations of both written and electronic communications.

• Provide training in field offices as required.

• Utilize knowledge of compliance matters and investment products effectively.

• Execute additional responsibilities as delegated by the Designated Supervisor or Management.

• Report directly to the Manager of Trade Supervision.

⛳️ Requirements

• A Bachelor's degree and/or 5-7 years of industry experience, with a focus on compliance, sales management, and/or risk management.

• Exceptional organizational abilities and a keen attention to detail.

• Strong skills in communication, conflict resolution, and presentations.

• Capability to function effectively in a team-oriented environment while being accountable for individual outcomes.

• Proficiency in Windows applications including Word, Excel, and Outlook.

• Understanding of paperless office practices, document scanning, and contact management software.

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

• Series 53 must be obtained within 3 months of hiring.

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

🏝️ Benefits

• Opportunity for remote work within a Home Office based Supervision department.

• Series 53 certification is required within 3 months of hiring.

• Series 4 and Life and Health Insurance licenses are a plus but not obligatory.