Director, Surveillance & Risk Management

Kestra PWS; Austin (TX); On-site; USD 140,000 - 210,000; Full time

Benefits offered by this job

Competitive pay

401(k) plan

Health insurance

Growth opportunities

Job summary

Kestra Financial is seeking a Director of Surveillance to lead a team in Austin, TX. You will design and optimize surveillance controls across broker-dealer and investment advisory activities, ensuring compliance with FINRA, SEC, and state requirements.

You will partner with Compliance, Legal, Supervision, AML, and Technology to drive scalable risk management and reporting, while mentoring analysts and advancing surveillance capabilities.

Qualifications

• Advanced knowledge of broker-dealer and investment advisory regulations.
• Strong leadership and people management capabilities.
• Ability to translate complex regulations into surveillance controls.

Responsibilities

• Lead, develop, and manage a surveillance team to detect risks.
• Design and enhance surveillance frameworks, thresholds, and reporting.
• Ensure regulatory compliance across FINRA, SEC, and state rules.
• Collaborate with Compliance, Legal, Supervision, AML, and Technology.
• Report findings and trends to senior leadership with clarity.

Skills

Broker-Dealer regulations

Investment Advisory regulations

Leadership / people management

Data analytics (Excel, SQL, Tableau)

Communication to senior leadership

Education

Bachelor’s degree in finance, economics, or related field

Tools

Excel

SQL

Tableau

Job description

Kestra Financial is seeking a Director of Surveillance to lead a team in Austin, TX. You will design and optimize surveillance controls across broker-dealer and investment advisory activities, ensuring compliance with FINRA, SEC, and state requirements.

You will partner with Compliance, Legal, Supervision, AML, and Technology to drive scalable risk management and reporting, while mentoring analysts and advancing surveillance capabilities.