SEC Compliance Lead — Investment Advisory

Kestra Financial; Plymouth (MA); On-site; USD 120,000 - 180,000; Full time

Job summary

Kestra Financial is seeking a senior compliance leader to oversee SEC registered investment adviser regulations, exams, filings, and internal controls. You will advise management on compliance risks and remediation actions, and prepare concise reports for senior leadership.

You will coordinate risk-based audits, monitor code of ethics adherence, and guide policy implementation across the firm while collaborating with regulators and auditors.

Qualifications

• Strong knowledge of SEC-registered investment adviser regulations, filings, and examination practices.
• Ability to interpret regulations and implement practical policies and monitoring.
• Excellent written and verbal communication with regulators, auditors, and management.
• Highly organized, detail-oriented, and able to handle confidential information with discretion.
• Analytical, problem-solving, and process-improvement skills with sound judgment.

Responsibilities

• Lead and coordinate SEC regulatory examinations, including prep of materials and remediation tracking.
• Prepare and review regulatory filings such as Form ADV and Form CRS as applicable.
• Approve and oversee resolution of trade errors per regulatory requirements and firm policies.
• Review high-dollar transactions and third-party wire requests, escalating issues as needed.
• Monitor employee compliance with the firm's Code of Ethics and Compliance Manual.
• Plan and perform risk-based internal audits and compliance testing.
• Conduct annual compliance review and risk assessments, identifying gaps and improvements.
• Manage Investment Adviser Representative licensing and registration matters.
• Oversee insurance licensing, carrier appointments, renewals, and continuing education.
• Compile and analyze internal/external compliance information and coordinate with auditors.
• Research evolving federal/state requirements and advise on policy changes.
• Provide compliance guidance to employees and support policy implementation.

Skills

SEC regulations

Regulatory filings

Communication skills

Organization

Analytical thinking

Problem solving

Process improvement

Time management

Computer skills

Compliance certification (IACCP)

Team player

Tools

Microsoft Office

Job description

Kestra Financial is seeking a senior compliance leader to oversee SEC registered investment adviser regulations, exams, filings, and internal controls. You will advise management on compliance risks and remediation actions, and prepare concise reports for senior leadership.

You will coordinate risk-based audits, monitor code of ethics adherence, and guide policy implementation across the firm while collaborating with regulators and auditors.