Quality-driven Compliance Analyst familiar with tracking, documentation and reporting requirements. Assesses work, materials and procedures and recommends adjustments to maintain compliance. Over many years of experience and motivated, energetic mindset.
The Advertising Analyst is a Compliance Analyst position at Kestra Financial that supports the marketing initiatives for advisors who utilize their services. The Advertising Analyst is charged with reviewing the advisor's communications as it relates to FINRA Rule 2210 and finding solutions to meet the regulatory standards. The following are some of the day-to-day responsibilities:
Responsible for Account Servicing of Investors including Cost Basis/Account Transactions, Transfer of Assets, and assist clients with operational issues around retirement planning.
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