Surveillance Analyst

As a Surveillance Analyst at Kestra Financial, you will assist the firm in mitigating risk conditions associated with client accounts and financial advisor activities. You will perform analysis and communicate with financial advisors and Manager to resolve issues and document resolutions.

Requirements

• Meet predetermined goals for team and individual assignments
• Communicate with financial advisors and Manager to resolve and document issues
• Collaborate with team members and internal staff to develop enhanced tools and techniques
• Assist in completing document requests from regulatory bodies and internal auditors
• Investigate, document, and escalate regulatory and policy exceptions
• Maintain thorough documentation suitable for regulatory examination

Benefits

• Competitive pay
• 401(k) and health insurance
• Tuition reimbursement
• Work in a supportive, collaborative environment
• Opportunities for training and development
• Long-term growth opportunities