Discover Your Potential at Kovack Financial Network
KFN attracts and retains top talent in the independent financial services industry. Our team comprises individuals who are not only experts in their field but also possess exceptional problem-solving skills and a keen understanding of the business landscape. We take pride in fostering an environment that encourages professional growth and long-term commitment. Explore the reasons why our employees choose to build their careers with us.
Envision Your Future at
Our Company
Join a team of visionaries and change-makers who are united by a shared mission to create a lasting impact. Immerse yourself in a culture that must be experienced to be believed – one that fosters innovation, encourages collaboration, and celebrates achievements.
With boundless opportunities for personal and professional growth, and a comprehensive benefits package designed to support your well-being, you’ll gain a complete understanding of what sets us apart. Discover your place among like-minded individuals who are passionate about making a difference.
Passion Drives
Our Success
At our company, we are united by a common trait – a passion for solving problems and exploring unconventional ideas. Our team members are not afraid to think outside the box and put in the extra effort to deliver exceptional results consistently.
We foster an environment that encourages creativity and innovation, empowering our employees to push boundaries and achieve greatness.
A Close-Knit
Empathetic Community
Our strong camaraderie is not a coincidence; it’s the result of intentional hiring practices and a culture that values personal connections. We understand the importance of spending quality time together, both inside and outside the office. That’s why we seek out individuals who not only possess exceptional skills but also have engaging personalities that contribute to a positive and enjoyable work atmosphere.
Embracing Diversity, Fairness, Inclusion, and
Social Justice
We firmly believe that our differences make us stronger. We celebrate the uniqueness of each individual and recognize the value of diverse perspectives in driving innovation and growth. However, we know that simply stating our commitment to diversity, inclusion, and social justice is not enough.
We actively work to create a workplace that reflects these values, ensuring that employees from all backgrounds feel valued, represented, and empowered to succeed. Our goal is to cultivate an environment that not only embraces diversity but also leverages it to build a stronger, more dynamic organization for the future.
Making a Positive Impact,
Together
Our company truly shines when we come together to create meaningful change in our local and national communities. Our employees are the driving force behind numerous grassroots initiatives that demonstrate our commitment to giving back. From organizing many humanitarian causes to supporting local families and charities.
Our ownership, executives and team members are passionate about making a difference. We believe in the power of volunteerism and actively encourage our employees to get involved. That’s why we offer paid volunteer time off, allowing our team members to dedicate their time and skills to support the causes they care about deeply.
By fostering a culture of giving and empowering our employees to lead philanthropic efforts, we strive to create a lasting, positive impact on the world around us.
Your Growth,
Our Priority
At our company, we firmly believe that our success is directly tied to the growth and development of our employees. We recognize that our people are our most valuable resource, and we are committed to investing in your career to help you reach your highest potential.
We prioritize internal promotions, ensuring that our talented team members have ample opportunities to advance within the organization. To support your professional growth, we offer a comprehensive range of programs designed to enhance your skills and knowledge.
- Our tuition reimbursement program enables you to pursue further education and acquire new expertise.
- Our training initiatives provide you with the tools and resources needed to excel in your role.
Moreover, we understand the value of guidance and mentorship in fostering career development. Our mentor programs connect you with experienced colleagues who can offer invaluable insights, advice, and support as you navigate your professional journey.
At Kovack, by investing in your growth and providing a supportive environment, we aim to empower you to shine and achieve your fullest potential within our organization.
Embracing Our
Shared Passions
At our company, we believe that our strong privately owned corporate culture is built on the foundation of shared interests, values, and experiences.
Beyond each of our personal responsibilities, we foster a sense of camaraderie and human connection through our love and passion for cultural activities. Whether it’s engaging in friendly bowling and escape room outings, unleashing our creativity during our holiday parties and corporate retreats, or coming together to enjoy live music and homemade pastrami sandwiches and fresh pasta making classes we create opportunities for our employees to bond and build long lasting relationships.
Prioritizing Your Well-Being
We understand that supporting your overall well-being goes beyond offering a standard benefits package. That’s why we’ve crafted a comprehensive and flexible program designed to help you thrive both professionally and personally. We recognize the importance of maintaining a healthy work-life balance and provide resources to help you navigate the demands of your career, family, and personal life.
Our benefits include:
- Comprehensive medical, dental, and vision coverage to support your health needs
- A generous bonus plan to reward your hard work and dedication
- A 401(k)-matching program to support your long-term financial goals
- Ample paid time off and holidays, allowing you to recharge and spend quality time with loved ones
- An employee referral program that recognizes your contributions to building our talented team
Join Our Team
Advisor Transition & Onboarding Associate
Location: Fort Lauderdale, FL (Hybrid)
Department: Advisor Relations / Transitions
Reports To: Director of Advisor Relations
Company Description:
Kovack Securities, Inc. (KSI) and Kovack Advisors, Inc. (KAI), subsidiaries of Kovack Financial, LLC, are dedicated to empowering entrepreneurial financial professionals in building independent and competitive practices. Since its founding, the firm has focused on delivering resources, services, and training to help financial professionals efficiently manage their businesses while meeting client needs. With a flexible approach through their open product architecture and innovative fee-based programs, advisors are equipped to create tailored investment strategies. Kovack Financial Network emphasizes partnership, professionalism, and providing financial advice of the highest quality. The firm is headquartered in Fort Lauderdale, FL, with leading-edge support provided by reputable clearing firms such as National Financial Services (NFS) and BNY’s Pershing.
Role Description:
Kovack Financial Network is seeking a highly organized and detail-oriented Advisor Transition & Onboarding Associate to support the successful onboarding and transition of financial advisors joining the firm. This individual will work directly with advisors, operations teams, compliance personnel, technology staff, and custodial partners to facilitate a smooth and efficient affiliation process.
The ideal candidate has previous experience in the financial services industry and is familiar with advisor onboarding, account opening, registration processes, and custodial platforms. Experience working with Fidelity, Pershing, and advisor technology ecosystems is strongly preferred.
Key Responsibilities:
- Coordinate onboarding and transition activities for newly affiliating financial advisors and their staff.
- Serve as a primary point of contact during the advisor onboarding and transition process.
- Assist advisors with gathering and organizing registration, licensing, compliance, and business information.
- Track and manage transition milestones, timelines, and outstanding requirements.
- Coordinate with Compliance, Operations, Account Services, Technology, Advisory, and Trading departments to ensure a seamless onboarding experience.
- Facilitate onboarding calls, training sessions, and transition meetings with advisors and home office personnel.
- Support advisor account transition activities, including ACAT transfers, account opening workflows, and custodial paperwork.
- Assist in reviewing advisor business practices, technology usage, and operational workflows to ensure proper onboarding and support
- Maintain onboarding records, documentation, and status reporting within firm systems.
- Help identify process improvements to streamline advisor onboarding and transition experiences.
- Provide ongoing support to newly affiliated advisors during their first several months with the firm.
Required Qualifications:
- Bachelor’s degree in related field.
- 3+ years of experience in the financial services industry.
- Experience working with Financial Advisors in a Broker-Dealer or RIA Environment.
- Strong understanding of:
- New account and ACAT processing
- Brokerage and advisory account structures
- Advisor registration and onboarding workflows
- Excellent communication and organizational skills.
- Ability to manage multiple advisor transitions simultaneously.
- Strong attention to detail and follow-through.
Technology Experience Preferred:
Experience with one or more of the following platforms is highly desirable:
- Microsoft 365 (Outlook, Teams, Word, Excel, SharePoint, OneDrive)
- Docupace
- Envestnet
- Wealthbox CRM
- Redtail
- Fidelity Wealthscape
- Pershing NetX
- Financial planning and reporting platforms such as eMoney, MoneyGuidePro,
Supervisory Principal
Role Description:
This is a full-time hybrid position for a Supervisory Principal based in Fort Lauderdale, FL, with partial remote work flexibility. The Supervisory Principal will be responsible for performing supervisory and compliance reviews of new account activity and related transactions to ensure adherence to applicable regulatory requirements, firm policies, supervisory procedures, and industry standards.
The role will oversee the review and approval of new account documentation, account types, investment products, and transactions submitted by registered representatives and investment advisory professionals. This includes evaluating documentation for completeness and accuracy, reviewing product and transaction suitability, identifying potential compliance concerns, and ensuring appropriate supervisory controls are followed throughout the account-opening process.
The Supervisory Principal will work closely with financial professionals and internal departments to address questions, resolve exceptions, and obtain additional information when necessary. The position requires a strong understanding of FINRA and SEC rules, broker-dealer and RIA supervisory requirements, and the regulatory considerations associated with various investment products and account types.
Key Responsibilities:
- Perform supervisory reviews of new account applications, account documentation, and related investment activity to ensure compliance with firm policies, supervisory procedures, and applicable regulatory requirements.
- Review and approve new accounts and transactions involving a range of investment products and account types, including annuities, 529 plans, mutual funds, advisory accounts, commission-based products, managed accounts, alternative investments, and other securities and investment products.
- Evaluate account and transaction documentation for completeness, accuracy, suitability, and adherence to applicable regulatory and firm requirements.
- Conduct supervisory reviews of registered representatives’ and investment advisors’ activities in accordance with FINRA, SEC, and other applicable regulatory requirements.
- Identify and escalate potential regulatory, suitability, documentation, or compliance concerns to senior compliance and supervisory leadership.
- Review exceptions and resolve deficiencies, including identifying missing or incomplete documentation and working with financial professionals to obtain required information.
- Apply knowledge of applicable rules and regulations to assess account types, investment products, and transactions during the new account review process.
- Support the implementation, maintenance, and enhancement of supervisory procedures, compliance controls, and review processes.
- Maintain thorough and accurate supervisory documentation and records related to account reviews, approvals, exceptions, and escalations.
- Collaborate with Compliance, Operations, Legal, and other internal teams to address complex account and product-related issues.
- Assist with regulatory inquiries, examinations, audits, and internal compliance reviews as needed.
- Monitor trends and recurring issues identified through supervisory reviews and recommend enhancements to policies, procedures, and controls.
- Participate in compliance initiatives, supervisory projects, and ad hoc reviews as assigned.
- Maintain current knowledge of FINRA and SEC rules, regulatory developments, product requirements, and industry practices relevant to the new account and supervisory review process.
Qualifications
- Active FINRA Series 24 required.
- Bachelor’s degree in a related field preferred.
- 3+ years of experience in broker-dealer compliance, new account supervision, regulatory supervision, or a related supervisory role.
- Strong working knowledge of FINRA and SEC rules and regulations, as well as broker-dealer and RIA supervisory requirements.
- Experience reviewing new account documentation and investment products, with knowledge of products such as annuities, 529 plans, mutual funds, advisory accounts, commission-based products, and managed accounts.
- Understanding of suitability, supervisory review, account documentation, and regulatory requirements applicable to investment products and transactions.
- Strong attention to detail and ability to identify potential compliance and regulatory concerns.
- Ability to work independently while collaborating effectively with financial professionals and internal teams.
Benefits
- Competitive Salary
- Additional licenses are also supported and paid for by company
- PTO
- Healthcare, Vision and Dental Insurance
- Short Term Disability