Analyst, Advertising Review

Job Details

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

Support compliance with financial services regulations by reviewing advertising and communications. Evaluate marketing materials and correspondence to ensure alignment with regulatory standards and internal policies. Assist in maintaining compliance programs, supporting audits, and contributing to training and strategic initiatives.

What To Expect

• Advertising & Communications Review: Review marketing materials and communications, including websites, social media, videos, and radio content, for compliance with regulatory requirements and internal standards. Ensure adherence to applicable rules within the hybrid RIA model.
• Compliance Operations & Systems: Utilize compliance systems such as Web CRD, Smarsh, and other platforms to support regulatory requirements and documentation. Maintain accurate records and assist in ongoing compliance monitoring.
• Testing & Audit Support: Assist in performing compliance testing to evaluate the effectiveness of policies and procedures. Support audit-related activities and identify areas for improvement.
• Policy & Program Maintenance: Support the maintenance and updates of compliance manuals and written supervisory procedures. Contribute to the continuous improvement of compliance frameworks.
• Training & Education: Assist in preparing and delivering compliance training programs. Help promote understanding of regulatory requirements across stakeholders.
• Cross-Functional Collaboration: Participate in cross-functional initiatives and strategic projects. Provide compliance perspective and support risk mitigation efforts.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.
  
  

What You Need

• Series 7 license required or must be obtained within six months of start date.
• Series 66 license required or must be obtained within twelve months of start date.
• Series 24 license preferred.
• Proficiency in Microsoft Office applications, including Word, Excel, Outlook, and PowerPoint required.
• Strong written, verbal, and interpersonal communication skills required.
• Demonstrate ability to prioritize work, manage multiple tasks, and perform effectively in a fast-paced environment required.
• Demonstrate strong attention to detail and organizational skills required.
• Demonstrate ability to identify and communicate compliance risks professionally required.
• Demonstrate ability to explain regulatory requirements clearly and effectively required.
• Demonstrate strong customer service skills with a sense of urgency required.
• Demonstrate willingness and ability to learn new technologies required.
  
  

Preferred Education And Experience

• Bachelor’s degree in a related field preferred.
• Minimum of two years of compliance experience in a fast-paced environment preferred.
• Experience within a registered investment adviser, brokerage, or compliance consulting firm preferred.
• Experience with compliance advertising review preferred.
• Audit experience preferred.
• Audit experience preferred.
  
  

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 $60,000- $72,000.
• 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.