The Branch Examiner is based in the Kestra Financial home office located in Austin, TX and will travel to perform on-site branch examinations of Kestra Financial branch offices to ensure compliance with state, FINRA and SEC regulations, as well as firm supervisory procedures.
ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, individual must be able to execute 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 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.
- 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.
KNOWLEDGE, SKILLS, AND/OR ABILITIES:
- 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 process 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.
- 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.
- Requires Series 7 license
- Requires Series 24 license or the ability to obtain within 90 days of hire.
- Extensive travel required.
A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.