Audit Manager

Job Description

Job Description

 

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

Oversee audit activities for CWM, LLC and affiliated partner offices, including audit systems, records, metrics, risk tracking, and process improvements. Strengthen the firm’s control environment through training, coaching, and the promotion of audit readiness and regulatory excellence. Collaborate closely with compliance, operations, and technology partners to foster a culture of accountability and continuous improvement. 

Essential Functions:

Team Leadership and Development: Lead, mentor, and develop the external audit coordination team, fostering a collaborative, high-performing, and service-oriented culture. Provide ongoing coaching, performance feedback, and professional development opportunities to enhance technical knowledge, regulatory expertise, and leadership capabilities. Establish team goals, monitor performance metrics, and ensure accountability for quality, timeliness, and client service. 

Workload and Resource Management : Delegate audit assignments and balance team workloads to ensure the efficient execution of audit and regulatory support activities. Develop and manage comprehensive audit timelines, ensuring all requests and deliverables are completed accurately and on schedule. 

Audit Oversight and Risk Management : Monitor audit progress, identify potential issues, and escalate risks to management as appropriate. Review audit findings and develop remediation recommendations, coordinating timely corrective actions with business leaders. 

Compliance and Internal Controls: Assist in evaluating policies, procedures, and operational practices to support regulatory compliance and audit readiness. Recommend enhancements to internal controls and operational procedures that reduce audit findings and strengthen governance. 

Stakeholder Communication and Support : Facilitate communication between auditors and internal stakeholders to resolve questions and provide supporting documentation. Develop reference materials, job aids, and audit preparation resources for business teams. 

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, finance, legal studies, or a related field required.
• Series 7 and Series 66 licenses required or must be obtained within one year of employment. 
• Minimum of five years of relevant experience required. 
• Experience in a fast-paced registered investment adviser or compliance consulting environment preferred. 
• Audit experience required. 
• Management experience preferred. 
• Intermediate proficiency in Microsoft Office, including Word, Excel, Outlook, and PowerPoint required. 
• Experience with Salesforce, Smarsh, and RegEd preferred. 
• Superior written, verbal, and interpersonal communication skills, including the ability to explain rules and regulations professionally, required. 
• Superior customer service skills, including a strong sense of urgency and responsiveness, required. 
• Strong organizational skills and the ability to prioritize and manage multiple responsibilities accurately under pressure in a fast-paced environment required. 
• Flexibility and adaptability required. 
• Confidence to proactively identify potential concerns requiring formal attention and communicate them professionally required. 
• Ability to travel up to two times per year 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 $90,000 - $115,000.
• Variable compensation potential (Bonus and/or commissions)
• Competitive benefits including 401(k) with company contribution, PTO, Parental Leave, Sabbatical 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.

 

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