Director, Supervision
Kestra PWS, Austin, TX, United States
Encino Building #2, 5707 Southwest Parkway, Austin, Texas, United States of America
Job Description Posted Monday, April 20, 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.
Provide leadership and overall direction to Supervision personnel ensuring the efficiency of the business unit and manage the risk of the Kestra affiliated broker dealer and RIA’s. Ensure compliance with industry and company policies and procedures. This position reports to the Head of Supervision.
What You’ll Do:
Responsible for hiring, supervising, developing and motivating staff
Ensures all guides and manuals are accurate and intuitive
Provides training and cross‑training for all personnel
Evaluates workloads and responsibilities, proposing changes to assignments to maintain an efficient workflow
Participates in organizational committees to address governance of business and risk needs.
Provides guidance to staff and/or personally researches and resolves complex issues
Coordinates back‑up support for all positions
Participates in and leads department level projects and initiatives
Assists Head of Supervision with other duties and special projects as required
Regularly conducts written performance evaluations, including goal setting and employee development
Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.
What You Bring:
Bachelor's degree and / or 10+ years industry experience, most recently in compliance, risk management or supervision experience
5+ years of experience managing direct reports
Must have strong managerial and leadership skills
Must have highly developed motivational and interpersonal communication skills
Must have a comprehensive knowledge of investment products
Industry trends, competitive dynamics, and regulatory environment
Change management and transformation initiatives
Must have organizational, filing, time management, and customer service skills
Must be proficient in MS suite
Certifications and Licenses:
Series 7, 24 or 9/10, and 66 or 63/65 required
Series 53, 24 if 9/10 only, required within 3 months of hire
Series 4, Life and Health Insurance licenses a plus, but not required
Benefits:
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
Disclosure
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.
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Job Description Posted Monday, April 20, 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.
Provide leadership and overall direction to Supervision personnel ensuring the efficiency of the business unit and manage the risk of the Kestra affiliated broker dealer and RIA’s. Ensure compliance with industry and company policies and procedures. This position reports to the Head of Supervision.
What You’ll Do:
Responsible for hiring, supervising, developing and motivating staff
Ensures all guides and manuals are accurate and intuitive
Provides training and cross‑training for all personnel
Evaluates workloads and responsibilities, proposing changes to assignments to maintain an efficient workflow
Participates in organizational committees to address governance of business and risk needs.
Provides guidance to staff and/or personally researches and resolves complex issues
Coordinates back‑up support for all positions
Participates in and leads department level projects and initiatives
Assists Head of Supervision with other duties and special projects as required
Regularly conducts written performance evaluations, including goal setting and employee development
Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.
What You Bring:
Bachelor's degree and / or 10+ years industry experience, most recently in compliance, risk management or supervision experience
5+ years of experience managing direct reports
Must have strong managerial and leadership skills
Must have highly developed motivational and interpersonal communication skills
Must have a comprehensive knowledge of investment products
Industry trends, competitive dynamics, and regulatory environment
Change management and transformation initiatives
Must have organizational, filing, time management, and customer service skills
Must be proficient in MS suite
Certifications and Licenses:
Series 7, 24 or 9/10, and 66 or 63/65 required
Series 53, 24 if 9/10 only, required within 3 months of hire
Series 4, Life and Health Insurance licenses a plus, but not required
Benefits:
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
Disclosure
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.
#J-18808-Ljbffr