Kestra Holdings

• 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. • 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.

• Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed. • Communicate with financial advisors and Manager to resolve and document issues and resolutions. • Collaborate with team members and other internal staff to develop enhanced tools and techniques. • Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department. • Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures. • Maintain thorough, defensible documentation suitable for regulatory examination. • Other compliance-related projects and tasks as assigned by the Surveillance Manager. • Sound understanding of Broker/Dealer and Investment Advisory regulations. • Holistic communication style, balancing a service approach with business requirements. • Detail oriented with strong organization & time management skills. • Ability to interpret regulations and apply them to real‑world advisory and brokerage activity. • Strong investigative, analytical, and written documentation skills. • Strong team player. • Proficient with Microsoft Office applications and ability to learn other internal applications.

• 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.

• Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed. • Communicate with financial advisors and Manager to resolve and document issues and resolutions. • Collaborate with team members and other internal staff to develop enhanced tools and techniques. • Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department. • Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures. • Maintain thorough, defensible documentation suitable for regulatory examination. • Other compliance-related projects and tasks as assigned by the Surveillance Manager. • Sound understanding of Broker/Dealer and Investment Advisory regulations. • Holistic communication style, balancing a service approach with business requirements. • Detail oriented with strong organization & time management skills. • Ability to interpret regulations and apply them to real‑world advisory and brokerage activity. • Strong investigative, analytical, and written documentation skills. • Strong team player. • Proficient with Microsoft Office applications and ability to learn other internal applications.

• 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.

• Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives • Responsible for the supervisory review of new accounts, trades, annuities, and alternative investments • Responsible for the supervisory review of written and electronic correspondence • Conduct field office training as required • Engage and resolve escalated supervisory, compliance, and other issues as they arise • Research and prepare draft responses to Regulatory and Legal enquiries • Strengthen relationships with advisors and their support staff • Support team members through training, mentoring, and assist with professional development • Excellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved products • Other duties assigned by Supervision Leadership