Compliance Licensing & Systems Administrator

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

Deliver timely and accurate licensing, registration, and appointment services for financial professionals and associated persons. Ensure compliance with SEC, FINRA, state securities, and firm requirements while providing a high-quality experience for advisors and internal partners. Serve as a trusted resource throughout the registration lifecycle, including onboarding, transfers, amendments, renewals, and terminations. Partner across the organization to maintain regulatory compliance and support business growth. 

Essential Functions:

Licensing and Registration Administration: Process FINRA, SEC, and state licensing and registration requests. Prepare, submit, and maintain Forms U4 and U5 and related regulatory filings. Maintain firm ADV disclosure documents, including creating representative Form ADV Part 2B brochure supplements. Manage state notice filings and registration requirements, maintain supporting records, monitor licensing statuses, and proactively resolve registration deficiencies. 

Advisor Onboarding and Offboarding: Coordinate licensing activities associated with new hires, acquisitions, advisor transitions, and terminations. Verify registration eligibility and required documentation after onboarding. Process registrations, amendments, and terminations within established regulatory timeframes. Partner with internal teams to provide a seamless onboarding and offboarding experience. 

Regulatory Compliance and Examination Support: Ensure licensing activities comply with FINRA, SEC, state securities, and firm requirements. Monitor regulatory developments that may affect licensing and registration processes. Support regulatory examinations by gathering and providing requested licensing documentation. Maintain complete audit trails and supporting records. 

Reporting and Data Management: Maintain accurate information within licensing databases and regulatory systems. Produce reports related to registration status, continuing education, renewals, and other licensing metrics. Identify and resolve data discrepancies proactively. Recommend process improvements that increase efficiency, accuracy, and scalability. 

Compliance Systems Administration: Administer the firm’s primary compliance technology platforms, including Smarsh, RegEd, MyRepChat, RedOak, SiteQuest, and other compliance-related systems. Maintain system configurations, user access, permissions, workflows, notifications, and data integrity. Monitor system activity and address issues, exceptions, and control gaps requiring remediation. Coordinate with vendors regarding system enhancements, technical issues, implementations, and support requests. Develop and maintain procedures and documentation for compliance systems and related processes. 

Business Partnership and Process Improvement : Serve as a primary point of contact for licensing- and compliance-system-related questions from advisors, business partners, and internal teams. Provide guidance regarding licensing requirements, registration processes, and regulatory timelines. Identify opportunities to improve automation, reporting, efficiency, and the overall use of compliance technology. Partner with compliance leaders and internal stakeholders to improve licensing and compliance-system processes and the advisor experience. 

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, accounting, legal studies, information systems, or a related field required.
• Series 7, 24, 63, 65, or 66 license preferred.
• Minimum of three years of experience in licensing, registration, securities compliance, or compliance systems within a broker-dealer, registered investment adviser, or financial services organization required.
• Experience with Salesforce, Smarsh, RegEd, or similar compliance technology platforms preferred.
• Intermediate proficiency in Microsoft Office, including Word, Excel, Outlook, and PowerPoint, required.
• Ability and willingness to learn and work within new technology platforms required.
• Superior written, verbal, and interpersonal communication skills required.
• Ability to interpret and explain regulatory requirements and processes professionally required.
• Superior customer service skills, responsiveness, and a strong sense of urgency required.
• Ability to prioritize responsibilities and perform effectively under pressure in a fast-paced environment required.
• Ability to manage multiple responsibilities while remaining highly organized and attentive to detail required.
• Flexibility and adaptability required.
• Sound judgment and the confidence to identify concerns requiring formal attention and communicate them professionally 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 $85,000 - $100,000.
• 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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