Surveillance Analyst

Kestra Holdings is a wealth management platform dedicated to empowering independent financial professionals to grow their businesses and deliver exceptional client service. As a Surveillance Analyst, you will play a critical role in mitigating risk conditions associated with client accounts and financial advisor activities, ensuring the firm maintains high levels of compliance with industry regulations and internal policies.

Key responsibilities

• Meet predetermined goals for both team and individual assignments based on the quality and volume of work completed.
• Communicate with financial advisors and management to resolve and document compliance issues.
• Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures.
• Assist in completing document requests from FINRA, the SEC, state securities boards, and internal auditors.
• Collaborate with team members to develop enhanced tools and techniques for surveillance activities.

Requirements

• Minimum of 3 years of experience in financial services, preferably within an RIA or Broker-Dealer environment.
• Active Series 7, 63, and 24 licenses are required for this position.
• Strong investigative, analytical, and written documentation skills with a detail-oriented mindset.
• Ability to interpret complex regulations and apply them to real-world advisory and brokerage activity.
• Proficiency with Microsoft Office applications and the ability to quickly learn internal software.

What we offer

• A supportive, collaborative environment committed to professional excellence and growth.
• Comprehensive benefits package including 401(k) and health insurance.
• Opportunities for ongoing training, professional development, and long-term career advancement.
• Tuition reimbursement programs for qualified educational expenses.