Kestra

Role Description The position will be operated within a Home office based Compliance and Supervision department, working with other Compliance and Supervision staff. This position reports to the Director of Advertising Compliance. The individual is responsible for reviewing advertising, correspondence, outside business activities, and other activities of registered representatives and investment adviser representatives. What you’ll Do: - Provide subject matter expertise in reviewing sales literature, marketing materials, and communications, while proactively assisting 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. - Responsible for the supervisory review of written and electronic correspondence. - Responsible for the supervisory review of outside business activities (OBA). - Participate in the training and mentorship of Advertising Compliance Analysts. - Collaborate effectively 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 as appropriate. - File advertising and communications with FINRA as required. - Conduct regulatory research as needed. - Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitment. Qualifications - Bachelor’s Degree preferred. - Minimum 5 years industry experience. - Consistent delivery of excellent customer service. - Strong understanding of digital marketing trends, content strategy, and social media use in financial services. - Experience working within a dual-registrant environment (broker-dealer and RIA). - 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. - Ability to interpret and reconcile regulatory rules with proposed advertising materials. - Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively. - Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently, while maintaining exceptional attention to detail and collaborating effectively within a team environment. - Understanding of securities and insurance products, as well as investment advisory services. - FINRA Series 7 License required. - FINRA Series 24 License required. - Series 66 within 3 months of hire. Requirements - Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. - Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP. Benefits - Competitive pay and benefits with a large employer (over 1600 employees nationwide). - 401(k), health insurance, and a competitive benefits package. - Work in a supportive, collaborative environment committed to professional excellence. - Help clients navigate meaningful financial decisions with confidence. - Opportunities for training, development, and long-term growth within the firm. - Tuition reimbursement for qualified expenses.

Role Description The Accounting Manager is responsible for overseeing daily accounting operations, guiding and mentoring staff, and ensuring the accuracy and integrity of financial reporting. This role also plays a critical role in managing project milestones, enhancing internal controls, leveraging technology for efficiency, and driving operational excellence across the accounting function. - Lead and direct accounting staff in the day-to-day performance of their jobs. - Monitor team productivity and provide performance evaluations, constructive feedback, mentorship, and discipline as needed. - Perform complex accounting analysis to validate financial statements and identify potential errors. - Deliver a variety of financial reports to communicate results and trends to Executive leadership. - Assess and enhance accounting workflows to improve efficiency and accuracy, ensuring full compliance with internal policies and all relevant legal and regulatory standards. - Drive the successful completion of departmental and project milestones by identifying potential challenges early and implementing effective solutions and recommendations. - Research and interpret accounting standards to develop and refine internal processes and procedures. - Design strategies to strengthen internal controls and reduce organizational risk. - Develop and maintain appropriate schedules for accruals, amortization, and other accounting transactions. - Automate and leverage technology to streamline processes and improve accuracy. - Perform other duties as assigned. Qualifications - Thorough knowledge of GAAP and a strong understanding of established accounting policies and procedures. - Exceptional critical thinking abilities with an initiative-taking approach to planning, prioritization, and conceptual problem-solving. - Proven ability to collaborate effectively across all levels of the organization and with external partners, driving performance through creativity, strategic problem-solving, and results-oriented thinking. - Excellent communication and analytical skills, coupled with adaptability, innovation, and a continuous improvement mindset for designing and enhancing processes. - Demonstrated success in training, inspiring, and coaching team members to achieve individual and collective goals. - Cultivates a collaborative, high-performing team culture that encourages accountability, innovation, and continuous improvement. - Provides clear guidance, ongoing training, and meaningful professional development opportunities to support the growth and success of direct reports. Requirements - Bachelor’s degree in Accounting or Finance related field required. MBA, MAcc, or CPA preferred. - 5+ years progressive experience in Accounting or Finance. - 1-2 years previous management experience. - Experience with Oracle NetSuite and SQL desired. Benefits - Competitive pay and benefits with a large employer (over 1600 employees nationwide). - 401(k), health insurance, and a competitive benefits package. - Work in a supportive, collaborative environment committed to professional excellence. - Help clients navigate meaningful financial decisions with confidence. - Opportunities for training, development, and long-term growth within the firm. - Tuition reimbursement for qualified expenses.

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 Lead with Purpose. Partner with Impact. The Business Development Consultant will work with qualified financial advisors and firms to recruit them to the Kestra Financial platform. This role encompasses recruiting to the Kestra "Direct" Corporate RIA and Kestra Private Wealth Services platforms. What You’ll Do: - Recruit qualified financial advisors and firms to the Kestra platform. - Actively build and manage a pipeline of prospective advisors and firms in sales territory. - To generate referrals, actively build and manage a pipeline of centers of influence (COIs), including existing Kestra advisors, product sponsors, and third-party recruiters. - Manage and travel a sales territory to build Kestra Financials’ presence. - Planned and worked with home office business partners to conduct engaging and compelling home office visits, including hosting dinners and other events that immersed the recruit in the Kestra culture and experience. - Work proactively with the Marketing team to develop creative and effective marketing campaigns in the territory to grow the pipeline and move prospects through the sales pipeline as efficiently as possible. - Utilize CRM reporting to track and measure recruiter activities and outcomes. - Manage the advisor and firm relationship through the onboarding process. What You Bring: - 5+ years of recruiting experience, ideally in the financial services industry. - 3-5 years in a sales management position. - Series 7 required - Regular travel - College degree or equivalent industry-related experience required - Demonstrated experience and success driving sales through metric-based, behavior-based, and data-driven approaches. - Strong communicator and collaborator; enjoys coaching and mentoring. Internal Application Policy: Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP. Benefits to support you: - Competitive pay and benefits with a large employer (over 1600 employees nationwide) - 401(k), health insurance, and a competitive benefits package - Work in a supportive, collaborative environment committed to professional excellence - Help clients navigate meaningful financial decisions with confidence - Opportunities for training, development, and long-term growth within the firm - Tuition reimbursement for qualified expenses Kestra Values: Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team. Explore Life at Kestra Kestra Holdings Website: https://www.kestrafinancial.com/ Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE LinkedIn: https://www.linkedin.com/company/kestra-financial Apply Today Lead with purpose. Apply now and help shape the future of Kestra. Disclosure By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements: - You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment. - 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.

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description This position is responsible for supporting the marketing initiatives of financial professionals utilizing Kestra Financial. This includes: - Reviewing financial professionals’ communications - Providing tailored compliance solutions to ensure each piece meets regulatory standards - Maintaining accurate records in accordance with regulations To perform this job successfully, the individual must be able to execute each essential duty: - Provide subject matter expertise in reviewing sales literature, marketing materials, and communications - 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 - Participate in the training and mentorship of Advertising Compliance Analysts - Collaborate effectively with financial professionals, product partners, outside broker-dealers, 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 as appropriate - File advertising and communications with FINRA as required - Conduct regulatory research as needed - Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitment Qualifications - Bachelor’s Degree preferred - Minimum 5 years industry experience Requirements - Consistent delivery of excellent customer service - Strong understanding of digital marketing trends, content strategy, and social media use in financial services - Experience working within a dual-registrant environment (broker-dealer and RIA) - 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 - Ability to interpret and reconcile regulatory rules with proposed advertising materials - Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively - Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently - Exceptional attention to detail and ability to collaborate effectively within a team environment - Understanding of securities and insurance products, as well as investment advisory services Certifications, Licenses, Registration - FINRA Series 7 License required - FINRA Series 24 License required Benefits - Competitive pay and benefits with a large employer (over 1600 employees nationwide) - 401(k), health insurance, and a competitive benefits package - Work in a supportive, collaborative environment committed to professional excellence - Help clients navigate meaningful financial decisions with confidence - Opportunities for training, development, and long-term growth within the firm - Tuition reimbursement for qualified expenses