About this opportunity
Kestra Financial, Inc. lists this Director, Regulatory Compliance: Lead Examinations & Risk opportunity in northern, Kentucky. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Kestra Financial, Inc. seeks an experienced Director of Regulatory Compliance to lead the firm’s regulatory examinations, inquiries, and complaint responses.
The role directs investigations, reporting, and remediation while partnering with Legal, Risk, and business leaders to strengthen controls and policies. The Director will oversee a regulatory compliance team, ensure timely and accurate submissions, and maintain books and records related to examinations, filings, and remediation.
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Who can apply
Review the original listing for work authorization, qualifications and employer requirements.