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About the Role

The position is within the Home office based Compliance and Supervision department, reporting to the Director of Advertising Compliance. The individual will review advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives.

Responsibilities

• Provide subject matter expertise in reviewing sales literature, marketing materials, and communications.
• Assist financial professionals in aligning content with regulatory requirements and internal policies.
• Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators.
• Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications.
• Supervise the review of written and electronic correspondence.
• Supervise the review of outside business activities (OBA).
• Train and mentor Advertising Compliance Analysts.
• Collaborate with financial professionals, product partners, RIAs, agents, advertising agencies, and PR firms.
• Assist in training internal teams and field staff on advertising processes, systems, and regulations.
• Elevate relevant questions or concerns to senior analysts or management.
• File advertising and communications with FINRA.
• Conduct regulatory research.
• Demonstrate professionalism, accountability, client focus, and teamwork.

Requirements

• Minimum 5 years industry experience.
• Experience working within a dual-registrant environment (broker-dealer and RIA).
• Ability to interpret and reconcile regulatory rules with proposed advertising materials.
• Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently.
• Maintain exceptional attention to detail.
• Collaborate effectively within a team environment.
• Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra.
• Internal applicants must have a minimum of 1 year service in current role unless approved by EVP.

Skills

• Subject matter expertise in reviewing sales literature, marketing materials, and communications.
• Strong understanding of digital marketing trends, content strategy, and social media use in financial services.
• Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising.
• In-depth familiarity with FINRA and SEC advertising/communications regulations.
• Strong verbal and written communication skills.
• Ability to explain complex compliance concepts clearly and constructively.
• Understanding of securities and insurance products, as well as investment advisory services.

Location

• Home office based

Work Type

• Full-time

Experience Level

• Minimum 5 years industry experience

Education Level

• Bachelor’s Degree preferred

Benefits

• Competitive pay and benefits with a large employer
• 401(k)
• Health insurance
• Competitive benefits package
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

About the Company

• Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service.
• We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support.
• Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients.
• Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them.
• We live our values: Serve, Make it Happen, and One team.

Equal Opportunity

• It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.