Head of Operations

Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals-including traditional and hybrid RIAs-to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients

Lead with Purpose. Partner with Impact.

The Head of Operations position will report directly to the EVP, Client Experience Officer and act as a resource, team leader and subject matter expert for business units on all issues relating to trading and cashiering (move money). The candidate will have primary responsibility for the continued development and enhancement of the firm's operational functions, continuous improvement and transformational roadmap, while working closely with all business units, including Technology, Product, Client Services, Wealth Management, Sales Supervision and Compliance.

What You'll do

• Leading leaders of the Trading, Cashiering, Fee Billing and Mailroom departments.
• Set strategy and develop long range business plans for Operations organization.
• Collaborate with senior and executive management on effective recommendations to align processes and customer service with goals.
• Develop and refine policy and procedure for risk management and business opportunity.
• Deliver regular project status reports as well as service quality, productivity and production analyses to senior and executive management.
• Oversight of relationship with clearing and custody partners as it relates to areas of oversight.
• Ensure timely processing of end client account fees.
• Responsible for budget recommendations and adherence.
• Manage high profile and complex situations with financial professionals by proactively partnering with internal stakeholders in support of our financial professionals.
• Partner with Compliance and assist with responses to FINRA, Federal and State regulators and examiners.
• Participate as a contributing member to various internal committees.
• Assist with advisor recruiting initiatives as needed.
• Attend and present at firm conferences as required.
• Some travel may be required.
• Other duties as assigned

What you'll Bring

• Bachelor's degree in finance, business administration or related industry.
• Minimum 5 years relevant experience required, preference given to those with broker-dealer experience.
• Previous management experience in financial operations preferred.
• Has comprehensive knowledge in how equities, options, mutual funds, and fixed income trade.
• Has knowledge and understanding of broker dealer operations.
• Has experience assisting with FINRA, Federal and State audits and inquiries.
• Can evaluate risk and make independent decisions and prioritize communication to executive management.
• Can manage his or her time effectively and responds quickly to his or her team, financial professionals, and colleagues.
• Communicates expectations to staff and field in a clear and concise manner.
• Is collaborative and relationship oriented; yet can deliver difficult messages when necessary.
• Is dedicated to the support, growth, and future success of his or her direct reports.
• Works well in a team environment.
• Demonstrates integrity every day and leads by example.
• Has extensive knowledge of all applicable rules and regulations.
• Is capable of coordinating multiple projects/assignments and completing tasks timely and accurately.
• Has strong analytical skills, including the ability to identity problems and provide effective solutions.
• Must demonstrate corporate mission statement and advisor first culture.
• Must be proficient with Microsoft Outlook, Word, Excel and PowerPoint.

CERTIFICATIONS:

• Series 7, 63 (or 66), and 24 licenses required, or ability to obtain within 6 months of hire.

Internal Application 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 to support you:

• 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

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.


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Lead with purpose. Apply now and help shape the future of Kestra.

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.