Supervision Manager

Kestra • Austin, TX

16h

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 member of a Kestra’s Supervision management team, a Supervision Manager maintains the firm’s compliance with firm/regulatory rules and policies as it pertains to activities of Registered Representatives/Investment Advisor Representatives through the oversight of a supervisory team and dedicated responsibilities. In addition to the management of supervision staff, the manager has oversight over department systems functions relating to project management and UAT testing on various systems and tools utilized by the Supervision Department.

Requirements

• Bachelor's degree and / or 5-7 years industry experience, most recently in compliance, risk management or supervision experience.
• 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
• Good communication, organizational, time management, and conflict resolution skills.
• Responsible for individual as well as team results
• Proficient with Windows applications such as Word, Excel, Outlook, PowerPoint
• Familiarity with paperless office concept, document scanning and contact management software.
• Understanding of project management, allocating resources, building and executing test plans, and ensuring successful deployment of new technology solutions in a financial services environment
• 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
• Provides guidance to staff and/or personally researches and resolves complex issues
• Coordinates back-up support for all positions
• Engage and resolve escalated trades and/or issues from Designees.
• Manages the process of updating the supervisory review systems
• Lead the Supervision team on departmental and intra departmental projects
• Have excellent understanding of compliance issues, firm/regulatory policy, and Kestra approved products
• Other duties assigned by the Director or Head of Supervision

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: Manager
• Number of Employees: 101-250 employees