Regional Supervision Manager

Carson Wealth; Omaha (NE); On-site; USD 81,000 - 102,000; Full time

Benefits offered by this job

401(k) with company match

Health benefits

Paid time off

Parental leave

Flexible spending accounts

Life and AD&D insurance

Disability insurance

Wellbeing programs

Job summary

Carson Wealth in Omaha, NE seeks an experienced Compliance Supervisor to oversee partner offices and ensure adherence to firm policies and regulatory requirements.

You will monitor communications, manage escalations, onboard and train new partners, review accounts and disclosures for fiduciary compliance, and support internal controls across the organization.

Qualifications

• Bachelor’s degree required; relevant work experience may be considered in lieu of a degree.
• FINRA licenses (Series 7/24/66 or 63/65) required at hire or upon completion.
• Five+ years of risk, compliance, or supervision experience in financial services.
• Sales supervision experience with Reg BI analysis of accounts and products.
• Knowledge of FINRA, SEC regulations and Investment Advisers Act requirements.
• Strong knowledge of compliance systems and MS Office applications.
• Able to work independently and as part of a team.

Responsibilities

• Provide daily supervision of CWM partners to ensure policy adherence.
• Serve as the main contact for partner offices on compliance matters.
• Collaborate across the firm to address questions and escalate issues.
• Monitor regulatory requirements, attestations, and disclosures; review communications.
• Onboard and train new partners on compliance expectations and culture.
• Review escalated accounts, disclosures, and complex product purchases for fiduciary compliance.
• Support internal controls, testing, and documentation efforts.
• Perform additional duties as directed by leadership.

Skills

Risk management

Reg BI knowledge

Supervision

Policy interpretation

Analytical thinking

Decision making

Education

Bachelor’s degree in Business Administration, Finance, Economics

Tools

Salesforce

RegEd

Microsoft Outlook

Microsoft Excel

Microsoft Word

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

Provide daily supervision of CWM partners to ensure adherence to firm policies and procedures. Serve as the primary point of contact for partner offices on compliance matters. Maintain positive and functional relationships with CWM partners and their offices. Collaborate across the firm to address compliance questions, manage escalations, and support supervisory requirements.

What To Expect

• Partner Relationship & Compliance Communication: Build and maintain compliance and supervisory relationships with partner offices through consistent communication. Address compliance concerns, respond to inquiries on industry rules and firm policies, and proactively communicate policy and procedure updates.
• Monitoring & Surveillance: Monitor partner office compliance with DOL/PTE 2020-02 requirements, SEC, FINRA, and state requirements, firm attestations, certifications, and disclosures, including outside business activities and private securities transactions, through Salesforce and RegEd. Review emails, social media, and electronic communications for the region, escalating items of concern as needed.
• Risk Management & Escalation: Identify and address risks presented by individual partners or businesses. Manage the escalation of compliance-related items to and from partner offices. Provide input on regulatory or firm violations and sales practice issues and recommend and monitor heightened supervision as appropriate.
• Onboarding, Training & Culture: Manage the onboarding of new partners regarding compliance expectations and assist with training to ensure new offices understand requirements and establish a culture of compliance. Coordinate with regional sales stakeholders to answer compliance questions for prospective partners.
• Supervisory Review & Documentation: Review and approve escalated new accounts, disclosure forms, and complex product purchases for adherence to Regulation BI and fiduciary requirements. Review exception reports and required recurring items. Gather information and draft disciplinary documentation for policy, procedure, or Code of Ethics violations. Assist with compliance testing and internal controls.
• Administrative & Operational Support: Participate in cross-functional strategic initiatives and assist with other compliance and business risk management functions as necessary.
• 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 Business Administration, Finance, Economics, or a related field required. Relevant work experience may be considered in lieu of a degree.
• FINRA Series 7, 24, 66, or 63/65 required at the time of hiring or completion of these exams within a pre-determined timeframe.
• FINRA Series 53 and 4 preferred.
• Minimum of five years of risk, compliance, and/or supervision experience at a financial services firm and/or a federally registered investment adviser required.
• Sales supervision experience with principal review of complex products, Reg BI analysis of new accounts, and annuity purchases including 1035 exchanges and qualified replacements.
• Knowledge of the FINRA and SEC regulations including the Investment Advisers Act, Marketing Rules, and Regulation Best Interest. and relevant rules and regulations associated with operating as a federally registered investment adviser required.
• Strong knowledge of employee compliance, trading, and electronic communication review systems, as well as Microsoft Outlook, Word, and Excel, required.
• Ability to assist with creating new and improving existing processes and procedures required.
• Ability to work independently with limited direction and cooperatively as a member of a team required.
• Strong organizational skills and the ability to prioritize appropriately required.
• Strong conflict management, decision-making, and problem-solving skills 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 $81,000 - 102,000.
• 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.

Equal Opportunity EmployerThis 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.