Review financial professionals' marketing materials and communications to ensure adherence to SEC, FINRA, and state regulatory standards. Develop internal controls, supervisory procedures, and provide mentorship to other compliance analysts.
Kestra
7 Remote Job Openings at Kestra
The Analyst mitigates risk by monitoring client accounts and financial advisor activities to ensure compliance with industry regulations and company policies. Responsibilities include investigating regulatory exceptions, documenting findings for audits, and collaborating with internal staff to enhance surveillance tools.
Responsible for reviewing advertising, correspondence, and outside business activities to ensure alignment with regulatory requirements and internal policies. The role involves maintaining compliance controls and providing subject matter expertise to financial professionals and internal teams.
The Analyst mitigates risk by monitoring client accounts and financial advisor activities to ensure compliance with industry regulations and company policies. Key duties include investigating regulatory exceptions, documenting findings for audits, and collaborating with internal staff to enhance surveillance tools.
Responsible for reviewing advertising, correspondence, and outside business activities to ensure alignment with regulatory requirements and internal policies. The role involves maintaining compliance controls and providing subject matter expertise to financial professionals and internal teams.
Responsible for reviewing advertising, correspondence, and outside business activities to ensure alignment with regulatory requirements and internal policies. The role involves maintaining compliance controls and providing subject matter expertise to financial professionals and internal teams.
The role is responsible for supervising the daily activities of Registered Representatives and Investment Advisory Representatives to ensure compliance with regulatory standards. Key duties include reviewing new accounts, trades, and correspondence, as well as resolving escalated compliance issues.
