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