Client Service Principal

Kestra • Tempe, AZ

1d

About The Position

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.
As a Client Services Principal, you are a senior individual contributor and a subject matter expert within the Account Services department, operating with significant autonomy and authority. Your primary responsibility is to ensure the compliance and accuracy of critical client documentation through thorough principal review. You will be the official owner of vital departmental programs, such as signature guarantees and forms management, ensuring their integrity and effectiveness. Furthermore, you will be instrumental in delivering strategic insights through advanced reporting and providing essential project management support to managers, directly influencing departmental effectiveness and strategic initiatives. This role is ideal for a highly detail-oriented professional with extensive experience in financial services operations and a proven ability to manage high-stakes responsibilities

Requirements

• Bachelor's degree in a relevant field (Finance, Business Administration, etc.) required, or equivalent extensive industry experience.
• 5+ years of relevant experience in financial services operations, with demonstrated expertise in principal review, compliance, or program management.
• Demonstrated ability to perform thorough and accurate principal review of complex legal and account-related documents.
• Deep understanding of FINRA, SEC, and other relevant regulatory requirements, especially concerning document review and client accounts.
• Proven ability to manage and govern operational programs, including policy development, risk management, and training.
• Advanced analytical capabilities to interpret complex data, identify trends, and develop strategic insights for reporting and process improvement.
• Superior verbal, written, and presentation skills, with the ability to articulate complex regulatory and operational concepts clearly to various audiences and influence decision-making.
• Operates with a high degree of independence, takes full ownership of responsibilities, and demonstrate excellent judgment in high-stakes situations.
• Series 7 License Required.
• Series 24 License Required.
• Series 63 or 66 License Required

Responsibilities

• Conduct comprehensive principal review of complex client documents, including but not limited to Power of Attorney documents, Corporate resolutions, Articles of Incorporation, LLC Agreements and Articles, Margin applications, and Checkwriting applications, ensuring full regulatory compliance and accuracy.
• Identify and resolve highly complex Not-In-Good-Order (NIGO) issues and exceptions related to principal review documents, working directly with advisors, legal, and compliance as needed.
• Stay current with evolving industry regulations and internal policies pertaining to document review and principal responsibilities, ensuring departmental adherence.
• Serve as the primary owner and subject matter expert for the signature guarantee program, including developing, maintaining, and communicating policies, procedures, and risk controls.
• Act as the owner for all client service forms, overseeing their lifecycle from creation and legal review to distribution and periodic updates, ensuring accuracy, compliance, and user-friendliness.
• Provide expert guidance and training to other team members on signature guarantee processes and forms usage.
• Design, develop, and deliver strategic weekly and quarterly reports, providing in-depth analysis of key operational metrics, trends, and compliance insights to management.
• Translate complex data into actionable recommendations for process improvements and risk mitigation.
• Proactively identify data needs and implement robust reporting solutions to support departmental and organizational goals.
• Actively assist the manager in project management for key departmental initiatives and broader Kestra projects impacting Client Services.
• Lead specific project phases or workstreams, managing timelines, resources, and deliverables to ensure successful project completion.
• Collaborate with cross-functional teams to integrate new processes, systems, or regulatory changes effectively.
• Serve as a go-to expert for complex operational queries and escalated issues within Account Services.
• Mentor and provide expert guidance to Client Service Associates and Specialists on intricate processes, compliance matters, and problem-solving techniques.
• Contribute to the continuous improvement of departmental processes and standards, influencing best practices based on deep experience.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 101-250 employees