Kestra Financial seeks an experienced Director of Regulatory Compliance to lead the Firm's regulatory examinations, inquiries, complaints, investigations, and reporting. You will guide the team, coordinate cross-functional efforts, and ensure timely, well-supported responses to FINRA, SEC, and state authorities.
Ideal candidates bring advanced broker-dealer/RIA knowledge, strong communication skills, and a proven ability to drive corrective actions and remediation initiatives in a
#J-18808-LjbffrRegulatory Compliance Director — Examinations Lead in austin at Unknown Company
This position is listed as full time and onsite.