Compliance Analyst, Audit

Carson Wealth; Omaha, Northern (NE, KY); On-site; USD 68,000 - 75,000; Full time

Benefits offered by this job

401(k) with company match

Health benefits

Paid time off

Parental leave

Medical, Dental, Vision

Flexible spending accounts

Life and AD&D Insurance

Short and Long-Term Disability

Holistic Wellbeing Programs

Job summary

Carson Wealth is seeking a Compliance Analyst to help the firm and its advisors adhere to the rules and regulations of the financial services industry. You will conduct examinations of Partner offices across the United States and support supervisory monitoring, compliance testing, training, and other risk activities.

The role requires a bachelor’s degree, Series 7 and 66 licenses (or within one year), and at least two years of compliance experience.

Qualifications

• Bachelor’s degree in a related field is required.
• Series 7 and 66 licenses are required, or must be obtained within one year.
• Minimum of two years of compliance experience in a fast-paced environment at a Registered Investment Adviser or compliance consulting firm preferred.
• Audit experience preferred.
• Intermediate proficiency in Microsoft Office required.
• Experience with Salesforce, Smarsh, and RegEd preferred.
• Familiarity with or eagerness to learn new technology required.
• Superior written, verbal, and interpersonal communication skills required.
• Ability to travel 20–40% of the time required.

Responsibilities

• Examinations & Branch Reviews: Perform on-site and virtual/remote branch examinations of Partner offices throughout the United States.
• Supervisory Review & Monitoring: Assist with the review of supervisory, compliance surveillance, and exception reports; address issues and follow through with remediation.
• Testing & Internal Controls: Assist with performing approved testing to assess the adequacy of the firm’s policies and procedures.
• Training & Documentation: Assist in preparing and conducting compliance training programs; assist with the maintenance of compliance manuals.
• Strategic & Cross-Functional Support: Participate in cross-functional teams working on strategic initiatives; perform other duties related to compliance and risk as assigned.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.

Skills

Audit exams

Regulatory compliance

Testing & controls

Training & docs

Cross-functional

Communication skills

Education

Bachelor’s degree in a related field

Tools

Salesforce

Smarsh

RegEd

Microsoft Office

Job description

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

Help the firm and its advisors adhere to the rules and regulations of the financial services industry. Conduct audits of Partner offices throughout the United States. Review exception reports, advertising, electronic and written correspondence, and other material that requires review under the Written Supervisory Procedures. Support supervisory monitoring, compliance testing, training, and other compliance and risk activities.

• Examinations & Branch Reviews: Perform on-site and virtual/remote branch examinations of Partner offices throughout the United States.
• Supervisory Review & Monitoring: Assist with the review of supervisory, compliance surveillance, and exception reports; address issues with appropriate individuals and follow through with the remediation process. Assist with monitoring compliance with firm attestations, certifications, and disclosures (OBAs, personal brokerage accounts) through Salesforce and RegEd.
• Testing & Internal Controls: Assist with performing approved testing to assess the adequacy of the firm’s policies and procedures.
• Training & Documentation: Assist in preparing and conducting compliance training programs; assist with the maintenance of compliance manuals.
• Strategic & Cross-Functional Support: Participate in cross-functional teams working on strategic initiatives; perform other duties related to compliance and risk as assigned.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.

What You Need

• Bachelor’s degree in a related field required.
• Series 7 and 66 licenses required, or must be obtained within one year.
• Minimum of two years of compliance experience in a fast-paced environment at a Registered Investment Adviser or compliance consulting firm preferred.
• Audit experience preferred.
• Intermediate proficiency in Microsoft Office (Word, Excel, Outlook, PowerPoint) required.
• Experience with Salesforce, Smarsh, and RegEd preferred
• Familiarity with or eagerness to learn new technology required.
• Superior written, verbal, and interpersonal communication skills required.
• Ability to explain rules and regulations professionally required.
• Superior customer service skills with a sense of urgency and excellent response times required.
• Ability to prioritize responsibilities and perform under pressure in a fast-paced environment required.
• Strong ability to multitask while remaining highly organized with attention to detail required.
• Flexibility and adaptability required.
• Demonstrated confidence to proactively identify potential concerns requiring formal attention and communicate them professionally required.
• Ability to travel 20–40% of the time required.

EEO Statement

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.

The total rewards expected for this role include:

• Starting annual base salary between $68,000 - $75,000.
• Variable compensation potential (Bonus and/or commissions)
• Competitive benefits including 401(k) with company contribution, PTO, Parental Leave, Medical, Dental, Vision, Health Savings Accounts, Flexible Spending Accounts, Life and AD&D Insurance, Short and Long-Term Disability, Work/Life Benefits and Holistic Wellbeing Programs.

#LI-JS1

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.For further information, please review the Know Your Rights notice from the Department of Labor.