Supervisor, Cashiering

ABOUT US:
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.


SUMMARY:
Kestra Financial is seeking a motivated Supervisor to lead its brokerage Cashiering Department. The role involves overseeing client money movement processes with a focus on accuracy, efficiency, and risk management. The ideal candidate will drive operational excellence, support financial advisors, and exemplify leadership, demonstrating the ability to help “Power Financial Independence” through a serve, make it happen, and one team mentality.
RESPONSIBILITIES:
In addition to complying with all regulatory rules, written desktop procedures, and company policies, and communicating effectively with the Kestra Financial Professionals and with internal staff, key responsibilities include:
• Supervise the brokerage Cashiering team to ensure they follow procedures and policies and operate within service level agreements.
• Serve as the primary contact for operational support on money movement processes and escalations.
• Provide operation-level support and training to advisors using our money movement tools and systems, including paperwork and AML requirements.
• Monitor systems and reports for quality, ensure compliance with service level agreements, and maintain risk control.
• Stay current on system enhancements and procedural updates, and assist with communicating changes to advisors.
• Collaborate with internal departments to ensure a seamless, efficient, and customer-focused advisor experience.
• Coordinate various projects as assigned by senior management.
• May be required to work overtime, particularly during end of year and tax season.
• Other duties as assigned.
SKILLS:
• Understanding of the operational and regulatory requirements for processing money movement requests.
• Strong communication skills and a commitment to service excellence.
• A curious and collaborative, team-oriented mindset with high attention to detail.
• Ability to effectively coach and supervise a team and individuals.
• Ability to prioritize and manage multiple tasks in a fast-paced environment.
• Proficiency in Microsoft Office (Excel, Word, Outlook, Teams, PowerPoint).
• Experience with Salesforce and NFS is a plus.
SUPERVISORY RESPONSIBILITIES:
• Cashiering department associates
• Principal reviews supervisory responsibilities
EDUCATION AND EXPERIENCE:
• Bachelor’s degree or equivalent industry-related experience.
• Background in financial services or advisor support roles.
• Experience supervising people.
• Series 7 required.
• Series 24 preferred (or ability to obtain within 6 months).
• CRPS is desired, and must be able to be obtained within 12 months of the management request


INTERNAL APPLICANT POLICY:
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.

BENEFITS:
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
DISCLOSURE
By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
• You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
• It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.


KESTRA VALUES:

Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: SERVE, MAKE IT HAPPEN, and ONE TEAM.