Surveillance Analyst

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 clients

Lead with Purpose. Partner with Impact. As a member of the Surveillance team, the Analyst will assist the firm in mitigating certain risk conditions associated with client accounts and financial advisor activities. Utilizing a variety of software applications and reports, the Analyst will perform functions & analysis to enable the firm’s achievement of high levels of compliance with industry regulations & company policies.

What you’ll Do:

• Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed.
• Communicate with financial advisors and Manager to resolve and document issues and resolutions.
• Collaborate with team members and other internal staff to develop enhanced tools and techniques.
• Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department.
• Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures.
• Maintain thorough, defensible documentation suitable for regulatory examination.
• Other compliance-related projects and tasks as assigned by the Surveillance Manager.
• Sound understanding of Broker/Dealer and Investment Advisory regulations.
• Holistic communication style, balancing a service approach with business requirements.
• Detail oriented with strong organization & time management skills.
• Ability to interpret regulations and apply them to real world advisory and brokerage activity
• Strong investigative, analytical, and written documentation skills
• Strong team player.
• Proficient with Microsoft Office applications and ability to learn other internal applications.

What You Bring:

• 3+years’ experience in financial services, preferably within an RIA and/or Broker-Dealer environment.
• Compliance experience preferred.
• College degree is preferred, preferably in finance, economics or business.
• Series 7, 63 and 24 required.
• Series 65 or Series 66 preferred.

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

Kestra 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