Bluespring Wealth Partners (Bluespring) is part of Kestra Holdings, an industry-leading wealth management platform for independent financial professionals nationwide. Bluespring acquires successful, growing wealth management businesses from inside and outside of the Kestra Holdings ecosystem, promoting advisor autonomy and entrepreneurship while providing operation scale and efficiencies for its partner firms. 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 Compliance Officer is responsible for independently running daily compliance operations for a registered investment advisor. This role will report to the Chief Compliance Officer and work closely with the Chief Operations Officer. The successful candidate will play a key role in managing the day-to-day operations of the compliance program and enhancing the firm’s regulatory infrastructure.  

Key responsibilities include reviewing and decisioning escalations resulting from surveillance, supervision, marketing, drafting and maintaining policies and procedures, drafting and submitting SEC reporting such as quarterly holdings reports, and drafting and maintaining annual filings and notices (e.g. Form ADV, Privacy Notice).  

What you’ll Do:

• Compliance Escalations: Review and disposition daily escalations resulting from surveillance, supervision, monitoring, marketing, etc.  
• Compliance Calendar: Maintain ongoing tasks, including Code of Ethics certifications and forensic testing for the annual compliance review. 
• Regulatory Filings: Draft Form ADV and Form 13F filings 
• Policy Updates: Support updates to compliance manuals, Codes of Ethics, Privacy Policy, etc. 
• Cross-departmental collaboration: 
  Work closely with internal teams to resolve concerns. Foster effective communication to support timely and accurate financial reporting. 
• Regulatory Exam preparation and support: 
  Assist in the coordination of regulatory exams. Compile supporting documentation and respond to regulator inquiries to ensure a smooth process. 
• Special projects and process improvements: 
  Participate in or lead special projects, including process enhancements, system implementations, and ad hoc compliance analysis. Contribute to initiatives that improve efficiency and accuracy across functions. 

What You Bring:

• Minimum of 4  years’ compliance or finance experience required, with experience in a high-paced environment. 
• Bachelor’s degree or other related work experience. Juris Doctor is a plus. 
• Previous securities or related industry experience preferred but not required. 
• Direct knowledge of SEC Registered Investment Advisor compliance practices. 
• Ability to prioritize and manage work processes/projects efficiently and effectively to meet set deadlines. 
• Strong critical thinking skills with the ability to plan strategically and develop solutions. 
• Excellent communication and writing skills to interact with varying levels of management, financial professionals, and professional staff. 

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.