Supervisory Principal

Lead with Purpose. Partner with Impact. 

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.

What You’ll Do:

• 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 Management

What You Bring: 

• Bachelor's degree and / or 5-7 years industry experience, most recently compliance experience, sales management, and/or risk management
• 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.

Certifications, Licenses, Registrations:

• 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 required