Sr. Investigator, Regulatory Compliance

Kestra Financial•Phoenix, AZ

2d•Onsite

About The Position

Lead with Purpose. Partner with Impact. Kestra Financial seeks a senior analyst to support the Firm’s efforts to respond to conduct internal investigations, assist with client complaints, and regulatory requests. As a member of the Compliance team, the successful candidate will support the firm to mitigate risk and achieve a high level of compliance with applicable laws, industry regulations, and company policy. The candidate will support the Director of Regulatory Compliance as a point of contact for escalated issues and help set the tone and culture of the organization. The Primary Investigator is responsible for conducting thorough internal reviews of cross‑departmental activities to ensure adherence to SEC, FINRA, and applicable State regulatory requirements. This role leads investigations into potential compliance issues, gathers and analyzes evidence, prepares detailed findings, and collaborates with business units to recommend corrective actions. The Primary Investigator will maintain comprehensive documentation, monitor remediation efforts, and proactively identify emerging regulatory risks. Success in this position requires strong analytical skills, sound judgment, and the ability to communicate complex regulatory matters clearly to stakeholders at all levels. In addition, the Primary Investigator assists with the review and assessment of customer complaints, regulatory inquiries, and representative risk assessment reviews, ensuring timely, accurate, and well-supported reporting. This role requires strong discipline in meeting deadlines and the ability to adapt effectively to shifting priorities while maintaining high‑quality output. Strong analytical abilities, sound judgment, and the ability to clearly communicate and present complex regulatory matters to stakeholders at all levels are essential for success in this position.

Requirements

5+ years of experience in financial services, preferably within a Broker-Dealer /RIA environment.
Compliance experience is preferred.
Must have experience handling confidential matters.
College degree required.
Series 7
Series 24
Series 63

Nice To Haves

Familiarity with Lexis Nexis, RegEd, Smarsh, and NFS platforms a plus.

Responsibilities

Support the Director on regulatory investigations, including regulatory meetings, requests, and examinations to Compose formal responses to requests and inquiries from FINRA, SEC, and State regulators on behalf of the firm.
Perform senior-level data quality reviews and gap analyses.
Track and manage multiple deliverables on tight timelines.
Maintain collaborative efforts with cross-departmental investigators.
Address any concerns or provide any clarifications requested by stakeholders
Review documented evidence for clarity and accuracy.
Conduct firm interviews with registered representatives.
Coordinate responses to regulatory findings.
Track findings and ensure they are closed out in a timely fashion.
Ability to perform update Form U4 and U5 DRP filings with minimal guidance.
Ability to research and respond to customer complaints.
Interact with and support our independent registered representatives and investment advisor representatives.