Director of Surveillance & Regulatory Risk

Kestra Financial

Austin, TX

JOB DETAILS
SKILLS
Investigative Reports, Leadership, Regulations, Regulatory Compliance, Risk, Risk Management, Securities and Exchange Commission (SEC), Surveillance, Team Lead/Manager
LOCATION
Austin, TX
POSTED
Today

Kestra Financial in Austin, TX seeks a Director of Surveillance to lead a team of analysts, design robust surveillance frameworks, and mitigate risks across trading and advisory activity.You will partner with Compliance, Legal, Supervision and Technology to translate evolving FINRA/SEC requirements into scalable controls, supervise investigations, and report findings to senior leadership.#J-18808-Ljbffr

About the Company

K

Kestra Financial