Kestra

The analyst is responsible for reviewing sales literature, marketing materials, and electronic correspondence to ensure alignment with regulatory requirements. They also manage the supervisory review of outside business activities and contribute to the development of internal compliance controls and procedures.

The analyst is responsible for reviewing advertising, correspondence, and outside business activities to ensure alignment with regulatory requirements and internal policies. They will also develop supervisory procedures and provide mentorship to other compliance analysts.

The analyst is responsible for reviewing sales literature, marketing materials, and electronic correspondence to ensure alignment with regulatory requirements. They also manage the supervisory review of outside business activities and contribute to the development of internal compliance controls and procedures.

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.

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.