Regulatory Compliance Director — Examinations Lead
Kestra Financial
Kestra Financial seeks an experienced Director of Regulatory Compliance to lead the Firm's regulatory examinations, inquiries, complaints, investigations, and reporting. You will guide the team, coordinate cross-functional efforts, and ensure timely, well-supported responses to FINRA, SEC, and state authorities. Ideal candidates bring advanced broker-dealer/RIA knowledge, strong communication skills, and a proven ability to drive corrective actions and remediation initiatives in a #J-18808-Ljbffr Kestra Financial
Vacancy posted 2 days ago
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