Compliance Analyst - Audit
Carson Group
Who We Are
In an increasingly complex world where people are starving for someone they can trust, we stand for something simple: always put the client first. We do well by doing good for those we serve. It’s the ultimate measure. We believe in providing value beyond a doubt and in the notion that time will either expose you or promote you, based on your willingness to embrace change.
We serve financial advisors and investors through three entities, each headquartered in Omaha, Nebraska: Carson Wealth, Carson Coaching, and Carson Partners. We provide coaching and partnership services to advisor firms – and straightforward financial advice to the investing public. We all share a common mission to be the most trusted in financial advice.
Who We Want
The role of the Compliance Analyst focuses on helping the firm and its advisors adhere to the rules and regulations of the financial services industry. In addition to conducting audits of partner offices, the Compliance Analyst will help review exception reports, advertising, electronic and written correspondence, and other material that is required to be reviewed per the written supervisory procedures.
What To Expect
Perform onsite and virtual/remote branch examinations of our Partner offices throughout the United States.
Participate in cross-functional teams working on strategic initiatives
Assist with performing approved testing to assess the adequacy of the firm's policies and procedures
Assist with the review of CWM, LLC marketing materials and other incoming communications with the public
Assist with the review of supervisory and compliance surveillance and exception reports and address issues with appropriate individuals. Follow through with the remediation process
Assist with monitoring compliance with firm attestations, certifications and disclosures (OBAs, personal brokerage accounts) through Salesforce and RegEd
Assist with the maintenance of compliance manuals
Assist in preparing and conducting compliance training programs
Other duties related to compliance and risk as assigned
What You Need
Superior written, verbal, and interpersonal communication skills.
Intermediate level of skill in Microsoft Office (Word, Excel, Outlook, PowerPoint, etc).
Ability to prioritize responsibilities and perform under pressure in a fast-paced environment.
Ability to demonstrate confidence to proactively identify potential concerns that call for formal attention as well as the ability to communicate that potential concern professionally.
Flexibility and a strong ability to multi-task while remaining highly organized with attention to detail.
Ability to explain rules and regulations while acting in a professional manner.
Familiar with, or eagerness to learn new technology skills.
Superior customer service skills with a sense of urgency and excellent response times required.
Preferred Education and Experience
Bachelor’s Degree in related field
Series 7 & 66 licenses are required or obtained within 1 year
2-3 years of compliance experience in a fast-paced environment, at a registered investment adviser or a compliance consulting firm is preferred
Audit experience preferred
Ability to travel 20-40% of the time
Experience with Salesforce, Smarsh and RegEd a plus
In exchange for your expertise, we offer a base salary, bonus potential, 401(k) plus matching, health benefits, and a great working environment. This is your chance to play a key role in the continued success of our company. Our culture is fast-paced, collaborative, innovative, and focused on healthy living. Carson strives to promote the health and wellness of its stakeholders by maintaining a tobacco-free workplace.
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability, protected veteran status, sexual orientation, age or any other characteristic protected by law.