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Compliance Specialist

Kestra Investment Management
Austin, TX
  • Posted: over a month ago
  • Full-Time
Job Description

ABOUT US:

Kestra Investment Management is newly founded within Kestra Holdings which has been supporting financial advisor's for over 20 years. Kestra Investment Management represents a unique opportunity to help support and grow the firm's investment offerings. We aim to provide a broad suite of investment solutions and expertise our financial professionals can use to help their clients.

SUMMARY:

The Investment Compliance Specialist role is within the newly founded Kestra Investment Management division of Kestra Holdings and will report to the Chief Compliance Officer / Chief Operating Officer of Kestra Investment Management.

As a Compliance Specialist, you will be involved with the continued development of the Kestra Investment Management RIA compliance program to ensure adherence to the Adviser's Act and applicable regulations. You will work with a small team on data analysis and project management.

RESPONSIBILITIES:

  • Be a compliance resource to the firm and internal partners
  • Implement new policies, procedures, controls and exception reports
  • Evaluate business documents and processes to identify compliance risk
  • Review investment-related marketing and research collateral (factsheets, market commentary, videos) to ensure it meets industry standards and regulatory requirements
  • Provide data analysis to support different projects such as annual ADV filings, regulatory exams and inquiries
  • Review exception reports to identify and implement corrective action
  • Review requests requiring compliance approval
  • Investigate alleged violations as identified or referred to Compliance by various internal sources
  • Participate in special projects according to requests or necessitated by current events
  • Provide input for process improvement
  • Other compliance related responsibilities

SKILLS:

  • Strong written and oral communication.
  • Microsoft Excel and PowerPoint

EDUCATION AND EXPERIENCE:

  • Undergraduate degree from a four-year accredited college or university.
  • Minimum 3+ years of experience in compliance.
  • Program or project management experience.
  • Experience with implementation and use of compliance technology.
  • Investment Management and Advisory Services

CERTIFICATIONS:

  • FINRA Series 65 required
  • FINRA Series 7, 24, 66 or ability to obtain

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Kestra Investment Management

Address

Austin, TX
78735 USA

Industry

Business

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