Compliance Audit Analyst — Financial Services & Risk

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

Benefits offered by this job

Starting base salary $68k–$75k

Bonus potential

401(k) with company contribution

PTO

Parental Leave

Medical

Dental

Vision

Health Savings Account

Flexible Spending Account

Life and AD&D Insurance

Short/Long-Term Disability

Work/Life Benefits

Holistic Wellbeing Programs

Job summary

Carson Group in Omaha, NE seeks a Compliance professional to help the firm and its advisors adhere to SEC/FINRA rules. You will conduct examinations of Partner offices across the U.S., assist with supervisory reviews, testing, training, and documentation to strengthen compliance and risk practices.

The role requires a Bachelor’s degree, Series 7/66 or enrollment within a year, and 2+ years in a fast-paced compliance environment. Travel up to 40% and strong communication skills are essential.

Qualifications

• 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.
• 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 with appropriate individuals and follow through with the remediation process.
• 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

Series 7 & 66 licenses

Compliance experience

Audit experience

Microsoft Office

Salesforce

Smarsh

RegEd

Strong communication

Travel readiness

Education

Bachelor’s degree

Tools

Salesforce

Smarsh

RegEd

Job description

Carson Group in Omaha, NE seeks a Compliance professional to help the firm and its advisors adhere to SEC/FINRA rules. You will conduct examinations of Partner offices across the U.S., assist with supervisory reviews, testing, training, and documentation to strengthen compliance and risk practices.

The role requires a Bachelor’s degree, Series 7/66 or enrollment within a year, and 2+ years in a fast-paced compliance environment. Travel up to 40% and strong communication skills are essential.