Analyst, Surveillance

Kestra Holdings

. Meet predetermined goals for both team and individual assignments based on quality and volume of work completed .

Posted 10/30/2026full-timeRemote • United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance within the financial services sector, particularly in Broker-Dealer environments, while effectively communicating and collaborating with financial advisors and internal teams to mitigate risks and enhance operational efficiency.

Highest-signal resume keywords

Compliance ExperienceBroker/Dealer RegulationsMicrosoft Office ProficiencySeries 7, 63, And 24Detail Oriented

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Financial AnalysisRisk MitigationDocument RequestsRegulatory ComplianceData Analysis

Soft Skills

Holistic CommunicationStrong OrganizationTime ManagementTeam Collaboration

Tools & Technologies

Software ApplicationsInternal Applications

Certifications & Qualifications

Series 7Series 63Series 24Series 65Series 66

Industry Keywords

Financial ServicesBroker-DealerInvestment AdvisoryFINRASEC

About the role

Key responsibilities & impact

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

Requirements

What you’ll need

3+ years’ experience in financial services, preferably within a Broker-Dealer environment
Compliance experience preferred
College degree preferred, preferably in finance, economics or business
Sound understanding of Broker/Dealer and Investment Advisory regulations
Holistic communication style, balancing a service approach with business requirements
Detail oriented with strong organization and time management skills
Strong team player
Proficient with Microsoft Office applications and ability to learn other internal applications
Series 7, 63 and 24 required
Series 65 or Series 66 preferred