Director, Surveillance

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 Director of Surveillance leads the firm’s surveillance program and is responsible for identifying, mitigating, and reporting risks associated with client accounts and financial professional activity. This role oversees a team of surveillance analysts and is accountable for the design, execution, and continuous enhancement of surveillance frameworks, tools, and processes.

The ideal candidate brings deep expertise in broker-dealer and investment advisory regulations, strong leadership capabilities, and the ability to translate regulatory requirements into practical, scalable surveillance controls. This individual will partner across Compliance, Legal, Supervision, and Technology to strengthen the firm’s risk management posture and ensure adherence to regulatory standards.

What You’ll Do:

Leadership & Team Management:

• Lead, develop, and manage a team of surveillance analysts
• Establish performance expectations and ensure achievement of team goals related to quality, timeliness, and volume of work.
• Provide coaching, training, and professional development to team members.
• Foster a collaborative, accountable, and high-performing team environment.

Surveillance Program Oversight:

• Design, implement, and maintain surveillance frameworks to detect and mitigate risks related to trading activity, advisory activity, and financial professional conduct.
• Oversee the review, investigation, escalation, and resolution of surveillance alerts and exceptions.
• Ensure consistent, thorough, and defensible documentation suitable for regulatory examination.
• Evaluate and refine surveillance thresholds, scenarios, and reporting methodologies.

Regulatory & Risk Management:

• Ensure compliance with applicable FINRA, SEC, and state regulatory requirements.
• Serve as a key point of contact for regulatory inquiries, audits, and examinations, including managing document requests.
• Interpret evolving regulatory expectations and implement required changes to surveillance processes.
• Identify emerging risks and proactively enhance controls to mitigate exposure.

Data Analysis & Technology Enablement:

• Oversee the use of data analytics tools (e.g., Excel, SQL, Tableau) to identify trends, patterns, and anomalies.
• Partner with technology teams to develop and enhance surveillance systems, automation, and reporting capabilities.
• Drive continuous improvement initiatives to increase efficiency, scalability, and effectiveness of surveillance processes.

Cross-Functional Collaboration:

• Partner with Compliance, Legal, Supervision, AML, and other business units to address risk issues and ensure alignment.
• Communicate findings, trends, and risks to senior leadership in a clear and actionable manner.
• Support broader compliance initiatives and strategic projects as needed.

Additional Responsibilities:

• Participate in policy and procedure development related to surveillance and supervision.
• Maintain awareness of industry trends, enforcement actions, and best practices.
• Perform other duties and special projects as assigned.

Knowledge, Skills, and Abilities:

• Advanced knowledge of Broker-Dealer and Investment Advisory regulations.
• Strong leadership and people management skills with the ability to develop and motivate a team.
• Ability to interpret complex regulations and apply them to real-world brokerage and advisory activity.
• Strong analytical, investigative, and problem-solving capabilities.
• Excellent written and verbal communication skills, including the ability to communicate with financial professionals and senior leadership.
• Detail-oriented with strong organizational and time management skills.
• Ability to balance a service-oriented approach with regulatory and business requirements.
• Proficiency with Microsoft Office applications and experience with data analytics tools.

Supervisory Responsibilities:

• Direct supervision of Surveillance team.
• Responsible for hiring, performance management, coaching, and development of staff.
• , develop, and manage a team of surveillance analysts
• Establish performance expectations and ensure achievement of team goals related to quality, timeliness, and volume of work.
• Provide coaching, training, and professional development to team members.
• Foster a collaborative, accountable, and high-performing team environment.

Surveillance Program Oversight:

• Design, implement, and maintain surveillance frameworks to detect and mitigate risks related to trading activity, advisory activity, and financial professional conduct.
• Oversee the review, investigation, escalation, and resolution of surveillance alerts and exceptions.
• Ensure consistent, thorough, and defensible documentation suitable for regulatory examination.
• Evaluate and refine surveillance thresholds, scenarios, and reporting methodologies.

Regulatory & Risk Management:

• Ensure compliance with applicable FINRA, SEC, and state regulatory requirements.
• Serve as a key point of contact for regulatory inquiries, audits, and examinations, including managing document requests.
• Interpret evolving regulatory expectations and implement required changes to surveillance processes.
• Identify emerging risks and proactively enhance controls to mitigate exposure.

Data Analysis & Technology Enablement:

• Oversee the use of data analytics tools (e.g., Excel, SQL, Tableau) to identify trends, patterns, and anomalies.
• Partner with technology teams to develop and enhance surveillance systems, automation, and reporting capabilities.
• Drive continuous improvement initiatives to increase efficiency, scalability, and effectiveness of surveillance processes.

Cross-Functional Collaboration:

• Partner with Compliance, Legal, Supervision, AML, and other business units to address risk issues and ensure alignment.
• Communicate findings, trends, and risks to senior leadership in a clear and actionable manner.
• Support broader compliance initiatives and strategic projects as needed.

Additional Responsibilities:

• Participate in policy and procedure development related to surveillance and supervision.
• Maintain awareness of industry trends, enforcement actions, and best practices.
• Perform other duties and special projects as assigned.

Knowledge, Skills, and Abilities:

• Advanced knowledge of Broker-Dealer and Investment Advisory regulations.
• Strong leadership and people management skills with the ability to develop and motivate a team.
• Ability to interpret complex regulations and apply them to real-world brokerage and advisory activity.
• Strong analytical, investigative, and problem-solving capabilities.
• Excellent written and verbal communication skills, including the ability to communicate with financial professionals and senior leadership.
• Detail-oriented with strong organizational and time management skills.
• Ability to balance a service-oriented approach with regulatory and business requirements.
• Proficiency with Microsoft Office applications and experience with data analytics tools.

Supervisory Responsibilities:

• • Direct supervision of Surveillance team.
  • Responsible for hiring, performance management, coaching, and development of staff.

What You Bring: 

• • 7+ years of experience in financial services, preferably within a Broker-Dealer and/or RIA environment.
  • 3+ years of experience in compliance, supervision, or surveillance.
  • Bachelor’s degree or comparable work experience required; preferred degree in finance, economics, business, or related field.

Certificates, Licenses, Registration:

• • Series 7, 66 and 24 required.
  • Series 63 and 65 accepted in lieu of Series 66.

Internal Application 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 to support you:

• 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

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.  

Explore Life at Kestra

Kestra Holdings Website: https://www.kestrafinancial.com/

Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE

LinkedIn: https://www.linkedin.com/company/kestra-financial

Apply Today

Lead with purpose. Apply now and help shape the future of Kestra.

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.