Compliance Analyst, Audit

Carson Group•Omaha, NE

1d•Hybrid

About The Position

This role is responsible for helping the firm and its advisors adhere to the rules and regulations of the financial services industry. The Compliance Analyst will conduct audits of Partner offices throughout the United States, review exception reports, advertising, electronic and written correspondence, and other materials requiring review under the Written Supervisory Procedures. This position will also support supervisory monitoring, compliance testing, training, and other compliance and risk activities.

Requirements

Bachelor’s degree in a related field required.
Series 7 and 66 licenses required, or must be obtained within one year.
Intermediate proficiency in Microsoft Office (Word, Excel, Outlook, PowerPoint) required.
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.

Nice To Haves

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.
Experience with Salesforce, Smarsh, and RegEd preferred

Responsibilities

Perform on-site and virtual/remote branch examinations of Partner offices throughout the United States.
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.
Assist with performing approved testing to assess the adequacy of the firm’s policies and procedures.
Assist in preparing and conducting compliance training programs; assist with the maintenance of compliance manuals.
Participate in cross-functional teams working on strategic initiatives; perform other duties related to compliance and risk as assigned.
Perform additional tasks, duties, and responsibilities as needed or assigned by leadership to support departmental and organizational objectives.