Financial Compliance Analyst – Audit & Advisory Services

Carson Wealth; Omaha, Northern (NE, KY); Hybrid; 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

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.