Regulatory Compliance Director — Examinations Lead

Kestra Financial; Austin (TX); On-site; USD 180,000 - 240,000; Full time

Benefits offered by this job

401(k) plan

Health insurance

Tuition reimbursement

Training & development

Job summary

Kestra Financial seeks an experienced Director of Regulatory Compliance to lead the Firm's regulatory examinations, inquiries, complaints, investigations, and reporting. You will guide the team, coordinate cross-functional efforts, and ensure timely, well-supported responses to FINRA, SEC, and state authorities.

Ideal candidates bring advanced broker-dealer/RIA knowledge, strong communication skills, and a proven ability to drive corrective actions and remediation initiatives in a

Qualifications

• Bachelor's degree required in a related field.
• At least 10 years of financial services experience in broker-dealer and/or RIA environments.
• Direct responsibility for regulatory examinations, inquiries, complaints, investigations, or regulatory response.
• Advanced knowledge of federal and state regulatory framework for broker‑dealers and RIAs.
• Excellent written and verbal communication; executive-ready briefings and regulatory responses.
• Strong leadership and ability to train and develop compliance professionals.

Responsibilities

• Lead responses to examinations and inquiries by FINRA, the SEC, and state regulators.
• Coordinate collection, review, validation, and production of documents and data.
• Prepare leadership for regulatory meetings with context, risk analysis, and recommendations.
• Monitor inquiries, findings, remediation plans, and deadlines through closure.
• Maintain regulatory reporting and filings including Form U4/U5, Form BD, Form ADV.
• Lead internal investigations and communicate conclusions and recommendations.
• Maintain organized books and records for examinations and compliance activities.

Skills

Regulatory compliance leadership

Regulatory reporting

Written communication

Analytical thinking

Cross-functional collaboration

Project 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 seeks an experienced Director of Regulatory Compliance to lead the Firm's regulatory examinations, inquiries, complaints, investigations, and reporting. You will guide the team, coordinate cross-functional efforts, and ensure timely, well-supported responses to FINRA, SEC, and state authorities.

Ideal candidates bring advanced broker-dealer/RIA knowledge, strong communication skills, and a proven ability to drive corrective actions and remediation initiatives in a