[Hiring] Supervisory Principal @Kestra

Role Description

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.

• 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.

Qualifications

• 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.

Requirements

• 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.

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide).
• 401(k), health insurance, and a competitive benefits package.
• Work in a supportive, collaborative environment committed to professional excellence.
• Help clients navigate meaningful financial decisions with confidence.
• Opportunities for training, development, and long-term growth within the firm.
• Tuition reimbursement for qualified expenses.