Compliance Advertising Review Analyst

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

The role of the Compliance Advertising Review Analyst focuses on helping the firm and its advisors adhere to the rules and regulations of the financial services industry. The Compliance Advertising Review Analyst will help review advertising, electronic and written correspondence, and other material that is required to be reviewed per the written supervisory procedures of Carson Partners.

What To Expect

• Review of CWM, LLC marketing materials and other incoming communications with the public which include websites, social media, videos, radios shows for compliance with Cetera Hybrid RIA model requirements, applicable regulatory and company standards.
• Compliance administrative use of non-CWM, LLC built systems such as Web CRD, Smarsh, etc.
• Assist with performing approved testing to assess the adequacy of the firm's policies and procedures
• Participate in cross-functional teams working strategic initiatives
• Assist in the maintenance of compliance manuals
• Assist in preparing and conducting compliance training programs
• Other duties related to compliance and risk as assigned

What You Need

• Ability to prioritize responsibilities and perform under pressure in a fast paced environment
• Superior written, verbal and interpersonal communication skills
• Ability to demonstrate confidence to proactively identify potential concerns that call for formal attention as well as ability to communicate that potential concern professionally.
• Flexibility and strong ability to multi-task while remaining organized with attention to detail
• Ability to explain rules and regulations while acting in a professional manner
• Superior customer service skills with sense of urgency and excellent response times required
• Intermediate level of skill in Microsoft Office (Word, Excel, Outlook, PowerPoint, etc.)
• Familiar with, or eagerness to learn new technology skills
• Series 7 and 66 registrations or required to obtain the Series 7 within 6 months from start date, and both registrations within 12 months from start date.

Preferred Education and Experience

• Bachelor’s Degree in related field
• 2-3 years compliance experience in a fast paced environment, at a registered investment adviser, brokerage, or at compliance consulting firm is preferred.
• Compliance advertising review experience is preferred.
• Series 24 a plus
• Audit experience a plus
• Experience with Salesforce a plus

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.