Director, Supervision

Kestra Holdings • Austin, TX

2d

About The Position

Provide 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. Ensure compliance with industry and company policies and procedures. This position reports to the Head of Supervision. Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.

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

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

What This Job Offers

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