Compliance Analyst - Regulatory Compliance
Kestra Financial
Location: Austin, TX
Kestra Financial seeks a Regulatory Analyst to support the Firm’s efforts to respond to regulatory requests, customer complaints, and external requests. As a member of the Compliance team, the successful candidate will work to support the Firm in meeting regulatory deadlines and serve as a point of contact for the regulatory department to assist with mitigating risk and achieving a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Regulatory Compliance team and help set the tone and culture of the team.
The Analyst will primarily support the department with regulatory filings, meeting regulatory deadlines, managing customer complaints, facilitating the disciplinary process, and maintaining regulatory books and records for the Firm. The Analyst will also support internal investigations, customer complaints, and ad-hoc projects to respond to requests from internal and external stakeholders. The successful candidate must understand the regulatory context of requests received and communicate with business units and financial professionals. To do so, this individual must have strong organization, communication, proficient writing, and interpersonal skills.
The Analyst must be able to track requests and ensure the Firm meets assigned deadlines, while providing status/information of all outstanding and closed requests. The preferred candidate will have at least 2 years of experience in financial services. Compliance experience is also helpful, with previous regulatory response, audit, or testing experience preferred.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, an individual must be able to execute each essential duty satisfactorily.
Support the department on regulatory matters including meetings, requests, and examinations to
Maintain filing structure for regulatory information gathered and provided.
Track findings and ensure they are closed out in a timely fashion.
Track and manage multiple deliverables on tight timelines.
Review documents and files for accurate recordkeeping.
Coordinate responses to regulatory findings.
Interact with and support our independent financial professionals.
Support the disciplinary program and escalation process
KNOWLEDGE, SKILLS, AND/OR ABILITIES: To perform this job successfully, the individual should have the following skills and abilities.
Ability to work effectively within tight deadlines.
Strong organizational and records management skills
Skilled in working in an adverse environment in a professional manner.
Strong written communication skills with emphasis on factual reporting.
Microsoft Office including Outlook, Excel, and Word
SUPERVISORY RESPONSIBILITIES: None
EDUCATION AND/OR EXPERIENCE:
2+ years of experience in financial services
Must have experience with handling confidential matters.
College degree required.
Familiarity with Wealthscape, data analytics, and the NFS platforms a plus.
Filing Form U4/U5 updates, Salesforce, and Acrobat Adobe experience a plus
Proficiency with Microsoft Office – Word, Excel, and Outlook.
CERTIFICATIONS, LICENSES, REGISTRATIONS:
Series 7
Series 24
Series 63