This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more.

Role Description

This position is responsible for supporting the marketing initiatives of financial professionals utilizing Kestra Financial. This includes:

• Reviewing financial professionals’ communications
• Providing tailored compliance solutions to ensure each piece meets regulatory standards
• Maintaining accurate records in accordance with regulations

To perform this job successfully, the individual must be able to execute each essential duty:

• Provide subject matter expertise in reviewing sales literature, marketing materials, and communications
• Contribute to the development and maintenance of controls, systems, procedures, and records as required by FINRA, SEC, and state regulators
• Support the creation and updates of supervisory procedures, training content, a compliance-approved materials library, and internal communications
• Participate in the training and mentorship of Advertising Compliance Analysts
• Collaborate effectively with financial professionals, product partners, outside broker-dealers, RIAs, agents, advertising agencies, and PR firms
• Assist in training internal teams and field staff on advertising processes, systems, and regulations
• Elevate relevant questions or concerns to senior analysts or management as appropriate
• File advertising and communications with FINRA as required
• Conduct regulatory research as needed
• Demonstrate professionalism, accountability, client focus, and teamwork as part of the firm’s cultural commitment

Qualifications

• Bachelor’s Degree preferred
• Minimum 5 years industry experience

Requirements

• Consistent delivery of excellent customer service
• Strong understanding of digital marketing trends, content strategy, and social media use in financial services
• Experience working within a dual-registrant environment (broker-dealer and RIA)
• Solid knowledge of SEC Marketing Rule requirements, including rules around third-party awards, endorsements, testimonials, and performance advertising
• In-depth familiarity with FINRA and SEC advertising/communications regulations
• Ability to interpret and reconcile regulatory rules with proposed advertising materials
• Strong verbal and written communication skills; ability to explain complex compliance concepts clearly and constructively
• Exercise sound judgment, critical thinking, and strong analytical skills to navigate complex regulatory guidelines independently
• Exceptional attention to detail and ability to collaborate effectively within a team environment
• Understanding of securities and insurance products, as well as investment advisory services

Certifications, Licenses, Registration

• FINRA Series 7 License required
• FINRA Series 24 License required

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses