Compliance Analyst

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 As an RIA Compliance Analyst, you will report to the Manager of RIA Compliance. You will have or obtain sound knowledge of Advisory Rules and Regulations, including a working knowledge of the Investment Advisers Act of 1940. You will be involved with the continued development of our compliance program to ensure adherence to the Advisers Act and applicable regulations. What you’ll Do: - Be a compliance resource to advisors, their staff, and internal partners - Review exception reports to identify, propose, and implement corrective action - Investigate a...