Compliance Analyst, Audit

About the role

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.

Responsibilities

• 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.

Requirements