Senior Analyst Regulatory Compliance - PHX
Kestra Holdings
Office
Phoenix, AZ, US
Full Time
ABOUT US:
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
Sr. Analyst, Regulatory Compliance
Location: Phoenix, AZ
Company: Kestra Financial
Where Ambition Meets Real Impact
At Kestra Financial, we don’t just support financial advisors—we help them thrive. Our service model is human-led, tech-enabled, and built on purpose: to help advisors deliver great outcomes for their clients. We want individuals who show up to serve, work together as one team, and do what it takes to make their success easier.
About the Role
We’re looking for a Sr. Analyst, Regulatory Compliance to join our Compliance team. This is a high-impact role responsible for supporting regulatory responses, managing internal investigations, and ensuring compliance with industry regulations. You’ll work closely with the Director of Regulatory Compliance and cross-functional teams to deliver timely, accurate, and thoughtful responses to regulatory inquiries.
What You’ll Do
• Support the Director on regulatory matters, including meetings, requests, and examinations
• Compose formal responses to FINRA, SEC, and State regulators
• Perform data quality reviews and gap analyses
• Track and manage multiple deliverables on tight timelines
• Maintain contact with examination staff and address concerns
• Coordinate responses to regulatory findings and track resolution
• Perform FINRA Rule 4530 regulatory filings
• Research and respond to customer complaints
• Monitor and evaluate regulatory changes
• Support internal investigations and summarize findings
What You Bring
• 5+ years of experience in financial services, preferably within a Broker-Dealer / RIA environment
• Compliance experience is mandatory
• Internal Audit, Branch Exams, or Investigation experience preferred
• Strong written communication and data analysis skills
• Ability to manage confidential matters and meet tight deadlines
• Familiarity with LexisNexis, RegEd, Smarsh, and NFS platforms a plus
• Series 7, Series 24, and Series 63 required
Why Kestra?
We offer a collaborative culture, competitive compensation, and opportunities for growth. Join a team where your work matters and your voice is heard.
Apply today and help shape the future of advisor support.
INTERNAL APPLICANT 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:
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
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.
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.
Come join the dynamic team at Kestra Financial! Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.
Sr. Analyst, Regulatory Compliance
Location: Phoenix, AZ
Company: Kestra Financial
Where Ambition Meets Real Impact
At Kestra Financial, we don’t just support financial advisors—we help them thrive. Our service model is human-led, tech-enabled, and built on purpose: to help advisors deliver great outcomes for their clients. We want individuals who show up to serve, work together as one team, and do what it takes to make their success easier.
About the Role
We’re looking for a Sr. Analyst, Regulatory Compliance to join our Compliance team. This is a high-impact role responsible for supporting regulatory responses, managing internal investigations, and ensuring compliance with industry regulations. You’ll work closely with the Director of Regulatory Compliance and cross-functional teams to deliver timely, accurate, and thoughtful responses to regulatory inquiries.
What You’ll Do
• Support the Director on regulatory matters, including meetings, requests, and examinations
• Compose formal responses to FINRA, SEC, and State regulators
• Perform data quality reviews and gap analyses
• Track and manage multiple deliverables on tight timelines
• Maintain contact with examination staff and address concerns
• Coordinate responses to regulatory findings and track resolution
• Perform FINRA Rule 4530 regulatory filings
• Research and respond to customer complaints
• Monitor and evaluate regulatory changes
• Support internal investigations and summarize findings
What You Bring
• 5+ years of experience in financial services, preferably within a Broker-Dealer / RIA environment
• Compliance experience is mandatory
• Internal Audit, Branch Exams, or Investigation experience preferred
• Strong written communication and data analysis skills
• Ability to manage confidential matters and meet tight deadlines
• Familiarity with LexisNexis, RegEd, Smarsh, and NFS platforms a plus
• Series 7, Series 24, and Series 63 required
Why Kestra?
We offer a collaborative culture, competitive compensation, and opportunities for growth. Join a team where your work matters and your voice is heard.
Apply today and help shape the future of advisor support.
INTERNAL APPLICANT 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:
Full health, vision, dental. 401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).
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.
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.
Senior Analyst Regulatory Compliance - PHX
Office
Phoenix, AZ, US
Full Time
August 7, 2025