Compliance Officer

Kestra Holdings • Austin, TX

8d

About The Position

Lead with Purpose. Partner with Impact. The Compliance Officer is responsible for independently running daily compliance operations for a registered investment advisor. This role will report to the Chief Compliance Officer and work closely with the Chief Operations Officer. The successful candidate will play a key role in managing the day-to-day operations of the compliance program and enhancing the firm’s regulatory infrastructure. Key responsibilities include reviewing and decisioning escalations resulting from surveillance, supervision, marketing, drafting and maintaining policies and procedures, drafting and submitting SEC reporting such as quarterly holdings reports, and drafting and maintaining annual filings and notices (e.g. Form ADV, Privacy Notice).

Requirements

• Minimum of 4+ years’ compliance or finance experience required, with experience in a high-paced environment.
• Bachelor’s degree or other related work experience.
• Direct knowledge of SEC Registered Investment Advisor compliance practices.
• Ability to prioritize and manage work processes/projects efficiently and effectively to meet set deadlines.
• Strong critical thinking skills with the ability to plan strategically and develop solutions.
• Excellent communication and writing skills to interact with varying levels of management, financial professionals, and professional staff.

Nice To Haves

• Previous securities or related industry experience preferred but not required.
• Juris Doctor is a plus.

Responsibilities

• Compliance Escalations: Review and disposition daily escalations resulting from surveillance, supervision, monitoring, marketing, etc.
• Compliance Calendar: Maintain ongoing tasks, including Code of Ethics certifications and forensic testing for the annual compliance review.
• Regulatory Filings: Draft Form ADV and Form 13F filings
• Policy Updates: Support updates to compliance manuals, Codes of Ethics, Privacy Policy, etc.
• Cross-departmental collaboration: Work closely with internal teams to resolve concerns. Foster effective communication to support timely and accurate financial reporting.
• Regulatory Exam preparation and support: Assist in the coordination of regulatory exams. Compile supporting documentation and respond to regulator inquiries to ensure a smooth process.
• Special projects and process improvements: Participate in or lead special projects, including process enhancements, system implementations, and ad hoc compliance analysis. Contribute to initiatives that improve efficiency and accuracy across functions.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level