Supervision Analyst

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

Lead daily reviews of CWM, LLC Partner’s activities to ensure compliance with internal policy as well as State, Federal, and SRO regulations. Ensure adherence to firm policies and evolving regulatory requirements while monitoring and enforcing internal controls. Build trusted relationships with advisors and collaborate across supervision and compliance to resolve issues quickly. Contribute to best practices, training, and a culture of integrity and excellence.

We welcome both local Omaha candidates and remote applicants for this role.

What To Expect

• Policy & Regulatory Compliance: Maintain a thorough understanding of policies and procedures. Stay current on regulatory changes and translate them into clear guidance. Monitor, report, and enforce internal controls to ensure compliance.
• New Business & Account Review: Review new business, trade alerts, and daily correspondence for completeness and compliance and provide approvals or resolve deficiencies. Conduct timely and effective new-account reviews and follow up on outstanding tasks.
• Communications Oversight: Review advisor email, social media, and client correspondence. Review general support cases in the CRM and document actions taken.
• Training & Best Practices: Participate in training on new products, technology, and initiatives. Contribute topics and assist with developing best-practices communications for field partners and internal stakeholders.
• Collaboration & Escalation: Build and maintain positive working relationships with advisors. Collaborate with the Regional Supervision Managers on trends, case studies, regulatory or product changes, and escalating issues as needed.
• Other Duties: Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.
  
  

What You Need

• Superior verbal and written communication skills.
• Proficiency with Microsoft Office Suite required.
• Advanced knowledge of Microsoft Excel.
• Familiarity with CRM and case-management systems preferred.
  
  

Preferred Education And Experience

• Bachelor’s degree in business, finance, economics, or related field or equivalent experience (one year of experience in lieu of one year of education) required.
• FINRA Series 7, 66 (or 63 & 65) or willingness to obtain within 24 months of employment.
• Minimum of two years of industry experience in financial services 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- $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.