Kestra Technologies
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
Originally posted on Himalayas
To apply for this job please visit himalayas.app.
About this role & career path
Working in United States
The United States of America (USA), also known as the United States (U.S.) or America, is a country primarily located in North America. It is a federal republic consisting of 50 states and a federal capital district, Washington, D.C. The 48 contiguous states border Canada to the north and Mexico to the south, with the semi-exclave of Alaska in the northwest and the archipelago of Hawaii in the Pacific Ocean. The United States also asserts sovereignty over five major island territories and various uninhabited islands in Oceania and the Caribbean. It is a megadiverse country, with the world's th
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