Impactful SEC Compliance Leader

Bluespring Wealth Partners, LLC; Plymouth (MA); On-site; USD 120,000 - 150,000; Full time

Benefits offered by this job

Competitive pay and benefits with a大型雇

401(k) and health insurance

Tuition reimbursement for qualifiedexp

Opportunities for training and growth

Job summary

Kestra Financial is seeking a Lead Compliance professional to drive the firm’s compliance program and ensure adherence to SEC requirements and internal policies. You will oversee regulatory examinations, filings, and risk assessments, advising management on corrective actions.

Ideal candidates will possess strong SEC knowledge, excellent communication skills, and ability to coordinate with regulators, auditors, and management in a fast-paced financial services environment.

Qualifications

• Strong knowledge of SEC-registered investment adviser regulations, filings, books and records.
• Experience communicating with regulators, auditors, and management.
• Excellent written and verbal communication; discretion and judgment.

Responsibilities

• Lead SEC regulatory examinations, prepare materials, track remediation to completion.
• Prepare and submit Form ADV Part 1, Part 2A, Part 2B, Form CRS, Form 13F, and Form 13H as applicable.
• Oversee resolution of trade errors per regulatory requirements and firm policies.
• Monitor high-dollar transactions and third-party wire requests; escalate issues as needed.
• Ensure employee compliance with the Code of Ethics and Compliance Manual.
• Plan risk-based internal audits and compliance testing across books, client docs, fees, and billing.
• Conduct annual compliance review and risk assessment; identify control gaps and recommend improvements.
• Manage Investment Adviser Representative licensing and registration matters.
• Oversee insurance licensing, carrier appointments, renewals, and CE requirements.
• Compile and analyze internal/external compliance data; coordinate with auditors/regulators.
• Research new regulatory requirements and advise on policy/training changes.
• Provide guidance to employees and support implementation of policies.
• Maintain ongoing professional knowledge through CE and industry publications.

Skills

Regulatory compliance

SEC filings

Communication

Attention to detail

Analytical thinking

Time management

Cross-functional

IACCP preferred

Tools

MS Office

Job description

Kestra Financial is seeking a Lead Compliance professional to drive the firm’s compliance program and ensure adherence to SEC requirements and internal policies. You will oversee regulatory examinations, filings, and risk assessments, advising management on corrective actions.

Ideal candidates will possess strong SEC knowledge, excellent communication skills, and ability to coordinate with regulators, auditors, and management in a fast-paced financial services environment.