Supervision Manager

Kestra Holdings • Austin, TX

1d

About The Position

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

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

What This Job Offers

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