Director, Regulatory Compliance: Lead Examinations & Risk

Kestra Financial, Inc.; Austin, Northern (TX, KY); Hybrid; USD 140,000 - 230,000; Full time

Benefits offered by this job

Competitive pay

401(k)

Health insurance

Growth opportunities

Job summary

Kestra Financial, Inc. seeks an experienced Director of Regulatory Compliance to lead the firm’s regulatory examinations, inquiries, and complaint responses.

The role directs investigations, reporting, and remediation while partnering with Legal, Risk, and business leaders to strengthen controls and policies. The Director will oversee a regulatory compliance team, ensure timely and accurate submissions, and maintain books and records related to examinations, filings, and remediation.

Qualifications

• Bachelor's degree required; finance, economics, business, law, accounting, or related field preferred.
• At least 10 years of financial services experience, preferably in an independent broker-dealer and RIA environment.
• Significant compliance experience with regulatory examinations, inquiries, complaints, investigations, or regulatory response.
• Experience with internal audit, risk management, and investigations is preferred.
• Strong written and verbal communication with regulators and senior leaders.

Responsibilities

• Lead responses to regulatory examinations, inquiries, and meetings with FINRA, the SEC, and state regulators.
• Act as primary regulatory contact and ensure timely, accurate, and complete communications.
• Scope matters, identify requirements, risks, deadlines, and write response plans.
• Direct collection, review, and production of documents with QA and gap analyses.
• Draft, review, and approve factual, well-supported written responses for the Firm.
• Prepare for leadership meetings with complete facts, context, risk analysis, and recommendations.
• Track requests, findings, remediation plans, and due dates through closure.
• Coordinate regulatory findings remediation and verify corrective actions are completed.

Skills

Leadership

Regulatory expertise

Communication

Project management

Stakeholder management

Education

Bachelor's degree in finance, economics, business, law, accounting, or related field

Tools

FINRA Gateway/Web CRD

LexisNexis

RegEd

Smarsh

NFS/Streetscape

Microsoft Office

SharePoint

Job description

Kestra Financial, Inc. seeks an experienced Director of Regulatory Compliance to lead the firm’s regulatory examinations, inquiries, and complaint responses.

The role directs investigations, reporting, and remediation while partnering with Legal, Risk, and business leaders to strengthen controls and policies. The Director will oversee a regulatory compliance team, ensure timely and accurate submissions, and maintain books and records related to examinations, filings, and remediation.