Kestra Holdings

Analyst

• Meet predetermined goals for both team and individual assignments based on quality and volume of work completed
• Communicate with financial advisors and Manager to resolve and document issues and resolutions
• Collaborate with team members and other internal staff to develop enhanced tools and techniques
• Assist in completing document requests from FINRA, SEC, state securities boards, internal auditors, and the legal department
• Complete other compliance-related projects and tasks as assigned by the Surveillance Manager
• Assist the firm in mitigating risk conditions associated with client accounts and financial advisor activities
• Perform functions and analysis using software applications and reports to support compliance with industry regulations and company policies

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Analyst, Surveillance