About this opportunity
Kestra Financial lists this Regulatory Compliance Director — Examinations Lead opportunity in austin, Texas. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Kestra Financial seeks an experienced Director of Regulatory Compliance to lead the Firm's regulatory examinations, inquiries, complaints, investigations, and reporting. You will guide the team, coordinate cross-functional efforts, and ensure timely, well-supported responses to FINRA, SEC, and state authorities.
Ideal candidates bring advanced broker-dealer/RIA knowledge, strong communication skills, and a proven ability to drive corrective actions and remediation initiatives in a
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Worksite address
austin, TX, 78716, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.