Compliance Analyst, Audit

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
Help the firm and its advisors adhere to the rules and regulations of the financial services industry. Conduct audits of Partner offices throughout the United States. Review exception reports, advertising, electronic and written correspondence, and other material that requires review under the Written Supervisory Procedures. Support supervisory monitoring, compliance testing, training, and other compliance and risk activities.\

• 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. Assist with monitoring compliance with firm attestations, certifications, and disclosures (OBAs, personal brokerage accounts) through Salesforce and RegEd.
• 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.

 

What You Need
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
•Familiarity with or eagerness to learn new technology required.
•Superior written, verbal, and interpersonal communication skills required.
•Ability to explain rules and regulations professionally required.
•Superior customer service skills with a sense of urgency and excellent response times required.
•Ability to prioritize responsibilities and perform under pressure in a fast-paced environment required.
•Strong ability to multitask while remaining highly organized with attention to detail required.
•Flexibility and adaptability required.
•Demonstrated confidence to proactively identify potential concerns requiring formal attention and communicate them professionally required.
•Ability to travel 20–40% of the time 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 $68,000 - $75,000.
• 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.

 

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