Sr. Investigator, Regulatory Compliance

Job description

Kestra Holdings offers industry-leading wealth management platforms for independent wealth management professionals nationwide. Kestra is 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. Kestra Financial seeks a senior analyst to support the Firm’s efforts to respond to conduct internal investigations, assist with client complaints, and regulatory requests. As a member of the Compliance team, the successful candidate will support the firm to mitigate risk and achieve a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Director of Regulatory Compliance as a point of contact for escalated issues and help set the tone and culture of the organization. The Primary Invest...