Director, Regulatory Compliance

Encino Building #2, 5707 Southwest Parkway, Austin, Texas, United States of America

Posted Thursday, August 27, 2026 at 8:00 AM

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.

Kestra Financial seeks an experienced compliance leader to direct the Firm's Regulatory Compliance function. The Director, Regulatory Compliance leads regulatory examinations and inquiries, customer complaint and grievance responses, internal investigations, regulatory reporting, and the remediation of regulatory findings. The Director serves as a primary point of contact for escalated regulatory matters and helps set the tone and culture of the Compliance organization.

Reporting to the Head of Advisory Compliance, the Director is accountable for timely, accurate, complete, and well-supported responses to FINRA, SEC, state securities regulators, and other authorities. The Director must understand the regulatory context of each matter, identify relevant risks and procedural gaps, critically evaluate information supplied by business partners, and provide leadership with complete facts, sound analysis, clear recommendations, and practical next steps.

The Director leads and develops the Regulatory Compliance team. The Director establishes expectations, assigns and reviews work, confirms staff readiness, and ensures team members can independently manage matters appropriate to their roles. The position requires strong subject matter expertise, thorough preparation, sound judgment, precise communication, and consistent follow-through in a deadline-driven environment.

The Director also uses regulatory inquiries, examination results, investigations, and complaint trends to identify recurring conduct, control weaknesses, training needs, and opportunities to strengthen policies, procedures, surveillance, reporting, and risk management. The successful candidate must have advanced knowledge of broker-dealer and RIA operations, examination processes, books and records, and regulatory reporting requirements.

• Lead the Firm's responses to examinations, inquiries, sweeps, requests, and meetings involving FINRA, the SEC, state securities regulators, and other authorities.
• Serve as a primary regulatory contact, maintain professional and responsive communication with examination staff, and ensure questions, concerns, and follow-up requests are addressed promptly and accurately.
• Scope each regulatory matter; identify applicable requirements, risks, stakeholders, records, deadlines, dependencies, and escalation points; and establish a written response plan.
• Direct the collection, review, validation, and production of documents and data. Perform or oversee quality-control and gap analyses to confirm submissions are accurate, complete, consistent, and responsive.
• Draft, review, and approve clear, factual, and well-supported written responses on behalf of the Firm.
• Prepare thoroughly for leadership and regulatory meetings. Present complete facts, regulatory context, risk analysis, alternatives, recommendations, and next steps, and be prepared to answer questions about the matter.
• Track regulatory requests, commitments, findings, remediation plans, and due dates through closure. Escalate delays, deficiencies, resource…