Senior Supervisory Principal

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 Sr. Supervisory Principal is responsible for ensuring advisors are maintaining compliance with regulatory standards and Firm policies and procedures. The Sr. Supervisory Principal will work remotely within a Home Office based Supervision department, along with other Supervision staff assigned to a Service Team. This position is an individual contributor reporting to the Director of Supervision. What You’ll Do: Responsible for supervising the day-to-day activities of assigned Registered Representatives and Investment Advisory Representatives Responsible for the supervisory review of new accounts, trades, annuities, and alternative investments Responsible for the supervisory review of written and electronic correspondence Conduct field office training as required Engage and resolve escalated supervisory, compliance, and other issues as they arise Research and prepare draft responses to Regulatory and Legal enquiries Strengthen relationships with advisors and their support staff Support team members through training, mentoring, and assist with professional development Excellent knowledge of compliance issues, firm/regulatory policy, and Kestra approved products Other duties assigned by Supervision Leadership What You Bring: Bachelor's degree and / or 5-7 years industry experience, most recently Supervision or Compliance experience, and/or risk management Excellent skills in organization, attention to detail, written and ve