Head of Operations

Head of Operations Kestra Holdings
• Tempe, AZ, United States

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.

• Lead leaders of the Trading, Cashiering, Fee Billing and Mailroom departments.
• Set strategy and develop long‑range business plans for the Operations organization.
• Collaborate with senior and executive management on effective recommendations to align processes and customer service with goals.
• Develop and refine policy and procedure for risk management and business opportunity.
• Deliver regular project status reports as well as service quality, productivity and production analyses to senior and executive management.
• Oversee relationships with clearing and custody partners as it relates to areas of oversight.
• Ensure timely processing of end‑client account fees.
• Responsible for budget recommendations and adherence.
• Manage high‑profile and complex situations with financial professionals by proactively partnering with internal stakeholders in support of our financial professionals.
• Partner with Compliance and assist with responses to FINRA, Federal and State regulators and examiners.
• Participate as a contributing member to various internal committees.
• Assist with advisor recruiting initiatives as needed.
• Attend and present at firm conferences as required.
• Some travel may be required.
• Other duties as assigned.

• Bachelor’s degree in finance, business administration or related industry.
• Minimum 5 years relevant experience required; preference given to those with broker‑dealer experience.
• Previous management experience in financial operations preferred.
• Comprehensive knowledge of how equities, options, mutual funds, and fixed income trade.
• Knowledge and understanding of broker‑dealer operations.
• Experience assisting with FINRA, Federal and State audits and inquiries.
• Can evaluate risk and make independent decisions and prioritize communication to executive management.
• Can manage his or her time effectively and respond quickly to his or her team, financial professionals, and colleagues.
• Communicates expectations to staff and field in a clear and concise manner.
• Is collaborative and relationship‑oriented; yet can deliver difficult messages when necessary.
• Is dedicated to the support, growth, and future success of his or her direct reports.
• Works well in a team environment.
• Demonstrates integrity every day and leads by example.
• Has extensive knowledge of all applicable rules and regulations.
• Is capable of coordinating multiple projects/assignments and completing tasks timely and accurately.
• Has strong analytical skills, including the ability to identify problems and provide effective solutions.
• Must demonstrate corporate mission statement and advisor‑first culture.
• Must be proficient with Microsoft Outlook, Word, Excel and PowerPoint.

• Series 7, 63 (or 66), and 24 licenses required, or ability to obtain within 6 months of hire.

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.

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long‑term growth within the firm
• Tuition reimbursement for qualified expenses

Our Mission is Powering Financial Independence, enabling the growth and success of investing clients…