Senior Supervisory Principal

Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals - including traditional and hybrid RIAs - to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clientsLead with Purpose.

Partner with Impact. The Sr. Supervisory Principal is responsible for ensuring advisors are maintaining compliance with regulatory standards and Firm policies and procedures.

The Sr. Supervisory Principal will work remotely within a Home Office based Supervision department, along with other Supervision staff assigned to a Service Team. This position is an individual contributor reporting to the Director of Supervision.What You’ll Do:Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory RepresentativesResponsible for the supervisory review of new accounts, trades, annuities, and alternative investmentsResponsible for the supervisory review of written and electronic correspondenceConduct field office training as requiredEngage and resolve escalated supervisory, compliance, and other issues as they ariseResearch and prepare draft responses to Regulatory and Legal enquiriesStrengthen relationships with advisors and their support staffSupport team members through training, mentoring, and assist with professional developmentExcellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved productsOther duties assigned by Supervision LeadershipWhat You Bring:Bachelor's degree and / or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk managementExcellent skills in organization, attention to detail, written and verbal communication, conflict resolution, and presentingThe qualified candidate will work in a collaborative team environment but be responsible for individual resultsKnowledge of SEC, FINRA, and State rules and regulationsKnowledge of BD and RIA business practicesProficient with Windows applications such as Word, Excel, Teams, and OutlookFamiliarity with industry tools such as FIS/Sungard/Protegent, Envestnet, Albridge/Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce, etc.CERTIFICATES, LICENSES, REGISTRATION:Series 7, 24 or 9/10, and 66 or 63/65 requiredSeries 53, 24 if 9/10 only, required within 3 months of hireSeries 4, Life and Health Insurance licenses a plus, but not requiredInternal 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

packageWork in a supportive, collaborative environment committed to professional excellenceHelp clients navigate meaningful financial decisions with confidenceOpportunities for training, development, and long-term growth within the firmTuition reimbursement for qualified expensesKestra Values:Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team. Explore Life at Kestra Kestra Holdings Website: https://www.kestrafinancial.com/ Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE LinkedIn: https://www.linkedin.com/company/kestra-financial Apply Today Lead with purpose.

Apply now and help shape the future of Kestra. Disclosure By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.Originally posted on Himalayas