Supervisory Principal

ABOUT US:Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients. SUMMARY:As a member of a supervisory team, a Supervisory Principal maintains Kestra’s compliance with firm/regulatory rules and policies as it pertains to the activities of Registered Representatives/Investment Advisor Representatives. The Supervisory Principal will work remotely within a Home Office-based Supervision department, along with other Supervision staff within an assigned Service Team. This position reports to the Manager of Trade Supervision. ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily. • Coordinates trade and new account supervision for Registered Representatives/Investment Advisor Representatives within a designated Kestra service team in conjunction with other members of a supervisory team. • Review broker/dealer trade activity in Protegent • Review new accounts for suitability and best interest • Approve compliance disclosures submitted by registered representatives • Responsible for the supervisory review of written and electronic correspondence. • Conduct field office training as needed • Have excellent understanding of compliance topics and investment products • Other duties as agreed with the Designated Supervisor, or as assigned by ManagementKNOWLEDGE, SKILLS, AND/OR ABILITIES: • Excellent organizational skills and strong attention to detail • Strong communication, conflict resolution and presentation skills • The qualified candidate will work in a collaborative team environment but be individually responsible for individual results • Proficient with Windows applications such as Word, Excel and Outlook. • Familiarity with paperless office concept, document scanning and contact management software. SUPERVISORY RESPONSIBLITIES: NoneEDUCATION AND/OR EXPERIENCE: • Bachelor's degree and / or 5-7 years industry experience, most recently compliance experience, sales management, and/or risk managementCERTIFICATES, LICENSES, REGISTRATION: • Series 7, 24 or 9/10, and 66 or 63/65 required • Series 53, 24 if 9/10 only, required within 3 months of hire • Series 4, Life and Health Insurance licenses a plus, but not requiredINTERNAL APPLICANT POLICY:Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP. BENEFITS:Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees). DISCLOSUREBy applying to a job at Kestra Financial, Inc., you are agreeing to the following statements: • You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment. • It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment. KESTRA VALUES:Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM. Originally posted on Himalayas Apply To this Job