Director, Supervision

Kestra • Austin, TX

3d

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. The Director, Supervision position provides leadership and overall direction to Supervision personnel ensuring the efficiency of the business unit and manage the risk of the Kestra affiliated broker dealer and RIA’s. This role ensures compliance with industry and company policies and procedures.

Requirements

• Bachelor's degree and / or 10+ years industry experience, most recently in compliance, risk management or supervision experience
• 5+ years of experience managing direct reports
• Must have strong managerial and leadership skills
• Must have highly developed motivational and interpersonal communication skills
• Must have a comprehensive knowledge of investment products
• Industry trends, competitive dynamics, and regulatory environment
• Change management and transformation initiatives
• Must have organizational, filing, time management, and customer service skills
• Must be proficient in MS suite
• Series 7, 24 or 9/10, and 66 or 63/65 required
• Series 53, 24 if 9/10 only, required within 3 months of hire
• Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra.
• Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

Nice To Haves

• Series 4, Life and Health Insurance licenses a plus, but not required

Responsibilities

• Responsible for hiring, supervising, developing and motivating staff
• Ensures all guides and manuals are accurate and intuitive
• Provides training and cross-training for all personnel
• Evaluates workloads and responsibilities, proposing changes to assignments to maintain an efficient workflow
• Participates in organizational committees to address governance of business and risk needs.
• Provides guidance to staff and/or personally researches and resolves complex issues
• Coordinates back-up support for all positions
• Participates in and leads department level projects and initiatives
• Assists Head of Supervision with other duties and special projects as required
• Regularly conducts written performance evaluations, including goal setting and employee development
• Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.

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: Director
• Number of Employees: 101-250 employees