Overview
Compliance – Risk Officer Jobs in Austin, USA at Kestra Holdings
Blue spring Wealth Partners (Blue spring) is part of Kestra Holdings, an industry-leading wealth management platform for independent financial professionals nationwide. Blue spring 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. Kestra Holdings offers industry-leading wealth management platforms for independent wealth management professionals nationwide. With an innovative culture that celebrates independence, the company seeks to redefine the future of the advisory industry through superior service, cutting-edge technology, and preeminent resources that every financial professional needs to succeed in the market now and in the years to come.
Kestra Holdings companies collectively oversee $123 billion in assets under administration (AUA) and support more than 2,400+ independent financial professionals across the country in delivering comprehensive securities, trust, and investment advisory services to their clients. Located in the “Silicon Hills” of Austin, Texas, Kestra Holdings offers an experience as unique as the city in which it operates.
Blue spring Wealth Partners, a subsidiary of Kestra Holdings, is a fast-growing acquirer of wealth management firms throughout the United States. We take a relationship-based approach to partnering with and supporting best-in-class teams who provide financial planning and investing services to retail clients. Blue spring takes majority-stake positions in high-quality firms and provides its partners with an unparalleled depth of operating support, business consulting expertise and strategic investments in key areas of growth.
The Risk Officer is responsible for independently running risk identification and mitigation for merger & acquisition due diligence, members of a broker dealer, and members of 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 overall risk framework of Blue spring Wealth and enhancing the firm’s regulatory infrastructure.
Key responsibilities include ensuring that risk management practices are effectively integrated throughout the operations of the Blue spring Wealth firms and serving as a subject matter expert on risk mitigation. The Risk Officer will ensure timely identification, assessment, escalation, and remediation of all applicable categories of risk (Operational, Compliance, Strategic, and Reputational risk), and emerging risks as required. In addition, the Risk Officer will own risk management responsibilities and deliverables such as risk inventories, risk assessments, controls identification, documentation, and testing, and due diligence of potential acquisitions and vendors.
This role is essential for advancing risk-informed decision-making, ensuring business initiatives align with the organization’s risk appetite.
This role will provide back-up assistance and coverage for Compliance Officers, reviewing and decisioning escalations resulting from compliance surveillance, supervision, and marketing. The Risk Officer will be the Secretary of Blue spring Wealth committees, responsible for charter development and adherence, meeting preparation, and minutes.
What You’ll Do
• Build and successfully manage relationships with key stakeholders and senior leadership to maintain knowledge and awareness of operations, risk management developments, and new/changes to processes, products, services, and initiatives.
• Identify and escalate risk related issues and ensure issues self-identified by others are timely and properly escalated and reported. Support timely remediation and track corrective action plans to closure.
• Develop and manage Key Risk Indicators (KRIs) and thresholds/risk limits. Investigate…
Title: Compliance – Risk Officer
Company: Kestra Holdings
Location: Austin, USA
Category:
