Director, Regulatory Compliance: Lead Examinations & Risk

Kestra Financial, Inc. seeks an experienced Director of Regulatory Compliance to lead the firm’s regulatory examinations, inquiries, and complaint responses.

The role directs investigations, reporting, and remediation while partnering with Legal, Risk, and business leaders to strengthen controls and policies. The Director will oversee a regulatory compliance team, ensure timely and accurate submissions, and maintain books and records related to examinations, filings, and remediation.