Compliance Testing & Verification Analyst
The Compliance Testing & Verification Analyst will proactively interact with various departments within Kestra to ensure that written procedures and processes are adequate and faithfully executed within industry regulation and Kestra policy.
To perform this job successfully, individual must be able to execute each essential duty satisfactorily.
- Identify operational and regulatory risk of the firm and participate in ongoing firm risk assessment process
- Test business units for adherence to firm Written Supervisory Procedures and applicable departmental procedures
- Verify the establishment & maintenance of written procedures
- Communicate with management at all levels
- Generate written adequacy/deficiency reports and follow up on remediation efforts
- Proactively assist management to enhance written procedures
- Assist in generation of annual FINRA 3120/3130 and SEC 206(4)-7 reports
- Assist in implementation of firm Anti-Money Laundering & Cybersecurity programs
- Other compliance related duties as assigned by management
- Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork
- Sound understanding of Broker/Dealer and Investment Advisory regulations
- Strong team player
- Strong written & verbal skills
- Detail oriented with excellent organizational skills
- Strong conflict management & time management skills
- Proficient use of Microsoft applications such as Word, Excel, & Outlook
- Familiar with SEC, FINRA, MSRB, and other financial industry rules and regulations
- Familiar with Anti-Money Laundering & Cybersecurity regulations and processes
- College degree in economics, management, or accounting preferred
- 2+ years of experience in broker/dealer operations, auditing, or compliance
- Series 7 required
- Series 24 required or ability to obtain within 180 days of hire
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.