The Compliance Officer at Kestra is responsible for independently managing daily compliance operations for a registered investment advisor. This role reports to the Chief Compliance Officer and collaborates closely with the Chief Operations Officer. The successful candidate will play a key role in enhancing the firm's regulatory infrastructure and ensuring adherence to compliance standards.

Key responsibilities include reviewing and addressing daily escalations from surveillance, supervision, and marketing activities. The Compliance Officer will maintain ongoing tasks such as Code of Ethics certifications and forensic testing for the annual compliance review. Additionally, the role involves drafting and submitting regulatory filings like Form ADV and Form 13F, updating compliance manuals and policies, and assisting in regulatory exam preparations.

Candidates should possess a minimum of 4 years of compliance or finance experience in a high-paced environment. A bachelor's degree or equivalent work experience is required, with a Juris Doctor being a plus. Direct knowledge of SEC Registered Investment Advisor compliance practices is essential. Strong critical thinking, strategic planning, and excellent communication skills are necessary to interact effectively with various levels of management and financial professionals.

Kestra offers competitive pay and benefits, including a 401(k) plan, health insurance, and tuition reimbursement for qualified expenses. Employees work in a supportive, collaborative environment committed to professional excellence, with opportunities for training, development, and long-term growth within the firm.

The company fosters a culture of innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients. Kestra values serving clients, making things happen, and working as one team, providing a dynamic environment for professionals seeking to advance their careers in compliance.