Supervisory Associate

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:

The Supervisory Associate will execute supervisory and regulatory oversight tasks that do not require registered principal licensing to perform. Additionally, this role will oversee the administration of the Smarsh archiving platform. This role reports to the Head of Supervision.


ESSENTIAL DUTIES AND RESPONSIBILITIES: To perform this job successfully, the individual must be able to perform each essential duty satisfactorily.


Smarsh Duties and Responsibilities


Serve as a subject matter expert and administer the archiving of electronic communications through the Smarsh platform.

Add/remove home office and field users

Reconcile users and services for accurate billing

Update Supervision review queues as needed.

Troubleshoot archiving interruptions

Address low and no usage advisor emails as needed


Report on volumes and tune policies as needed to optimize review time

Perform testing and provide recommendations for optimization based on regulatory and business needs


Regulatory Supervisory Duties and Other Responsibilities


Perform supervisory reviews following Kestra's written supervisory procedures (WSPs) as permitted by licensing, or lack thereof, taking remedial and disciplinary action as needed.

Reviews require the exercise of discretion and independent judgment relating to the risk management of Kestra and its client firms.

Reviews include, but are not limited to:

Prohibited Investments in Advisory Accounts (PIMA) review

Perform email review under the direction of a registered principal

Review gifts and gratuity logs and escalate as needed

Review check and securities blotter

Validate manually entered asset values in consolidated reports

Facilitate Client Reimbursement Requests

Make calls to representatives regarding various reminders and upcoming deadlines

Perform account research

Coordinate requests for documents and data from regulators, the legal department, etc.

Assist in the generation and maintenance of department metrics, quarterly oversight reports, and other reports.

Maintain training logs for the Supervision department

Execute supervision testing and reporting


Manage department technical support requests and monitor progress to completion.

Other duties as assigned by the Supervision management.


KNOWLEDGE, SKILLS, AND/OR ABILITIES:


Proficient in Microsoft Office – especially Excel. The ability to work with large amounts of data in Excel is a plus.

Typing (45 wpm), Organizational, Time Management, and excellent Customer Service Skills.

Ability to operate office equipment.

Capable of gaining industry-related product knowledge.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of the job.


SUPERVISORY RESPONSIBILITIES: None


EDUCATION AND/OR EXPERIENCE:


A college degree preferred or equivalent industry experience


CERTIFICATES, LICENSES, REGISTRATION:


SIE within 90 days of hire


Series 7 preferred


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