Branch Examiner - Remote

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.
This position is responsible for performing on-site branch examinations of Kestra Financial branch offices to ensure compliance with state, FINRA and SEC regulations, as well as firm supervisory procedures. This is a remote position, with extensive travel.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
To perform this job successfully, the individual must be able to perform each essential duty satisfactorily:

• Prepare, schedule and conduct inspections of registered Kestra branch offices to ensure
  compliance with applicable industry rules (State, FINRA and SEC regulations), firm supervisory procedures, and company policies.
• Educate registered representatives and non-registered administrative personnel on the Broker/Dealer and RIA books and records requirements as well as supervisory procedures.
• Prepare final findings report and disseminate it to the appropriate parties.
• Track and monitor the resolution of deficiencies noted during branch examinations.
• Adhere to corporate travel expense and reimbursement policies to ensure staying within department budget.
• Demonstrate a commitment to culture through professionalism, accountability, customer/client focus, and teamwork.
• Travel of 65% is required.

KNOWLEDGE, SKILLS, AND/OR ABILITIES :
To perform this job successfully, the individual should have the following skills and abilities.

• Excellent written and oral communications skills.
• Professional demeanor with ability to work with all levels of staff.
• Ability to prioritize multiple tasks and manage projects effectively.
• Ability to work independently and focus on job tasks with little hands-on supervision.
• Ability to plan and coordinate audit visits and travel arrangements.
• Ability to execute and complete audit processes in a timely manner.
• Software knowledge of MS Word, Excel and Outlook.
• Familiar with SEC, FINRA and State regulations of securities and insurance.
• Strong analytical skills.
• Extensive travel required.

SUPERVISORY RESPONSIBILITIES :
None
EDUCATION AND/OR EXPERIENCE :

• Bachelor's degree or equivalent industry experience preferred.
• Two years auditing experience in a broker/dealer environment or 5 years of industry experience is a must.

CERTIFICATIONS, LICENSES, REGISTRATIONS :

• Requires Series 7 license.
• Requires Series 24 license.

PHYSICAL DEMAND:
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Ability to sit at a computer for long periods of time.
OTHER DUTIES:
The information in this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. Duties, responsibilities and activities may change at any time with or without notice.
INTERNAL 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).
DISCLOSURE
By 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.