About this role
Senior Supervisory Principal at Kestra. Location: United States. Role: supervising representatives, reviewing transactions, resolving escalations Requirements: Supervisory/compliance experience (5-7 years) with knowledge of SEC/FINRA/state rules; ability to review accounts, trades, correspondence, and respond to regulatory/legal inquiries; strong communication and organizational skills; bachelor's degree or equivalent experience. Category: Legal and Compliance Seniority: Senior Level Tools: Microsoft Word, Microsoft Excel, Microsoft Teams, Microsoft Outlook, Windows, FIS, Sungard, Protegent, Envestnet, Albridge, Pershing X, Wealthscape, Smarsh, RegEd, eMoney, Salesforce Certifications: series 7, series 24, series 9/10, series 66, series 63/65, series 53, series 4, life insurance, health insurance Commitment: Full Time Workplace: Remote Languages: English